[Federal Register Volume 73, Number 249 (Monday, December 29, 2008)]
[Notices]
[Pages 79548-79584]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-30600]
[[Page 79547]]
-----------------------------------------------------------------------
Part II
Department of Housing and Urban Development
-----------------------------------------------------------------------
Notice of HUD's Fiscal Year (FY) 2009 Notice of Funding Availability
(NOFA); Policy Requirements and General Section to HUD's FY2009 NOFAs
for Discretionary Programs; Notice
Federal Register / Vol. 73, No. 249 / Monday, December 29, 2008 /
Notices
[[Page 79548]]
-----------------------------------------------------------------------
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-5300-N-01]
Notice of HUD's Fiscal Year (FY) 2009 Notice of Funding
Availability (NOFA); Policy Requirements and General Section to HUD's
FY2009 NOFAs for Discretionary Programs
AGENCY: Office of the Secretary, HUD.
ACTION: Notice of HUD's FY2009 NOFA Policy Requirements and General
Section to HUD's FY2009 NOFAs for Discretionary Programs (notice).
-----------------------------------------------------------------------
SUMMARY: This notice provides prospective applicants for HUD's
competitive funding with the opportunity to become familiar with the
General Section of HUD's FY2009 NOFAs, in advance of publication of any
FY2009 NOFAs. This year, HUD plans to publish its NOFAs as they are
approved for publication and not in a combined SuperNOFA. HUD believes
that by making this change, the NOFAs will be available earlier in the
fiscal year. To assist applicants in this transformation, HUD is
publishing the anticipated schedule for release of HUD's FY2009 NOFAs
in Appendix A. The information regarding NOFA programs and schedules is
subject to the availability of appropriations. As HUD receives
appropriations, HUD may elect to amend the anticipated dates, estimated
funds available, and/or program requirements that may appear in the
published NOFAs to reflect HUD's FY2009 appropriations act, when
enacted by Congress. Any amendment to HUD published NOFAs will be made
available to the public through a Federal Register publication and
published on http://www.grants.gov. Applicants are urged to sign up for
Grants.gov's RSS Feed service to receive any changes to this General
Section to HUD's FY2009 NOFAs. Information about the RSS Feed Service
can be found at http://www07.grants.gov/help/rss.jsp. Detailed
instructions on use of the RSS Feed can be found later in this General
Section.
Applicants are advised to become familiar with the requirements of
this General Section, particularly with applicant Grants.gov
registration requirements and submission instructions. Submission
instructions must be adhered to in order to have a successful
submission. Applicants are also advised to provide copies of the
General Section to all persons that will be working on the application.
HUD has found too often that the Program Section and the application
are passed along, but not the General Section instructions; thus
placing Authorized Organization Representatives (AORs) at a
disadvantage in not having all the information needed for submission.
HUD will continue to require that applicants submit their
applications electronically via Grants.gov. In FY2008, HUD switched to
Adobe Forms application packages, available on Grants.gov. The Adobe
Forms packages take more processing power, are larger in size, and use
more memory than the earlier packages used by Grants.gov. Applicants
are advised to pay careful attention to the submission instructions
contained in this notice. Failure to do so will result in difficulty in
uploading your application and ``VirusDetect'' rejection notices. The
Adobe Forms packages are compatible with Windows XP Windows and Windows
Vista operating systems, Apple Macintosh computers, and Microsoft
Office 2007. Please carefully read the instructions in this notice
regarding use of Adobe Forms.
To submit an application via Grants.gov, new users will be required
to complete a five-step registration process, which can take 2 to 4
weeks to complete. The process includes ensuring that information
provided for the applicant organization to Dun and Bradstreet (D&B) for
your DUNS number matches information previously provided by your
organization and contained in Internal Revenue Service (IRS) records.
If there is a discrepancy in the information, the registration cannot
be completed until discrepancy issues are resolved. Applicants that
have previously completed the registration process have to renew or
update their registration in the Central Contractor Registration (CCR).
The renewal/update process confirms that the registration information
is still accurate and allows organizations to make any appropriate
changes. During the renewal/update process, the CCR will check the D&B
information against the IRS records for the applicant organization. If
there are discrepancies, the renewal/update cannot be completed until
the discrepancies are resolved. Please allow adequate time to resolve
any registration issues. Failure to complete the renewal/update process
in the CCR before the CCR registration expires will result in an
applicant having to repeat the five steps of the registration process.
If an applicant changes the eBusiness Point of Contact in the CCR
registration, it should make sure the new eBusiness Point of Contact
has also granted permission to the person submitting the application to
be the AOR. To submit an eligible application to HUD, the AOR must be
able to enter into a legally binding agreement on behalf of the
organizational entity. Please see detailed registration instructions in
Section IV.B. of this notice.
HUD recommends that all prospective applicants take the time to
carefully read the notice entitled ``Notice of Opportunity to Register
Early and other Important Information for Electronic Application
Submission via Grants.gov,'' published on December 5, 2008 (73 FR
74179). This notice is also available on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm and on http://
www.Grants.gov. HUD's Early Registration notice provides step-by-step
instructions for applicants who must register with Grants.gov and also
provides renewal/update instructions for those who have previously
registered. Prospective applicants should register or update their
registration information upon publication of this notice so you are
prepared when the Program Section NOFAs are published. Please note that
the Continuum of Care application is submitted through the HUD eSNAPS
system, not Grants.gov. Submission instructions for the eSNAPs
applications will be contained in the NOFA for the Continuum of Care
program. Notification of the availability of the Continuum of Care NOFA
and FY2009 application, and other information, will be released via the
Grants.gov Web site. HUD does not maintain a mailing list with the
exception of the Continuum of Care listserv for the Continuum of Care
applicant community. To join the HUD homeless assistance program
listserv, go to http://www.hud.gov/subscribe/signup.cfm?listname=Homeless%20Assistance%20Program&list=HOMELESS-ASST-L.
FOR FURTHER INFORMATION CONTACT: For further information on HUD's
FY2009 Policy Requirements and General Section, contact the Office of
Departmental Grants Management and Oversight, Office of Administration,
Department of Housing and Urban Development, 451 7th Street, SW., Room
3156, Washington, DC 20410-5000; telephone number 202-708-0667. This is
not a toll-free number. Persons with hearing or speech impairments may
access this number via TTY by calling the Federal Information Relay
Service at 800-877-8339.
SUPPLEMENTARY INFORMATION: Each year, HUD strives to improve its
competitive funding process. To help applicants with electronic
application registration
[[Page 79549]]
and submission, HUD is updating its Desktop User Guide for Submitting
Electronic Grant Applications. The user guide will provide step-by-step
details and screen shots of the entire registration and application
submission process, including troubleshooting application submission
errors. HUD updates the guide regularly and it will be available at
http://www.hud.gov/offices/adm/grants.
HUD believes that early publication of the General Section is
beneficial to prospective applicants by providing advance notice of the
Department's threshold requirements, strategic goals, policy
priorities, and other requirements applicable to almost every
individual NOFA published by the Department. The General Section is
structured to refer the reader to the individual program NOFAs.
Although program NOFAs are not being published at this time, the
references are retained. Likewise, when program NOFAs are published
they will contain references to the General Section. The General
Section and Program Sections comprise the NOFA instructions. Forms and
narratives are used by the applicants to address the requirements
contained in the instructions. When the Program Sections of the FY2009
NOFAs are published, they will be consistent with the General Section.
HUD is always interested in improving its application processes.
You can help HUD improve its outreach and program NOFAs by providing
feedback on ways it can improve the NOFA process. Please note that each
application contains a ``You Are Our Client!'' questionnaire. HUD
requests that you respond to this survey to let the Department know
what improvements have been beneficial and to share your ideas on where
improvements can continue to be made. HUD carefully considers the
comments received from its clients and strives to use the comments to
improve each year's NOFAs and the funding process.
This publication includes a list of programs for which NOFAs are
anticipated to be published in FY2009, subject to the availability of
funds. Any changes to the listing will be identified in each published
program NOFA. Any changes to this General Section will be published as
Technical Corrections in the Federal Register and on http://
www.Grants.gov.
HUD hopes that the information contained in this General Section,
and in other publications designed to assist applicants requesting
funds via electronic application, is helpful to you, our applicants.
Dated: December 17, 2008.
Roy A. Bernardi,
Deputy Secretary.
Overview Information
A. Federal Agency Name: Department of Housing and Urban Development
(HUD), Office of the Secretary.
B. Funding Opportunity Title: Policy requirements applicable to all
HUD Notices of Funding Availability (NOFAs) published during FY2009.
C. Announcement Type: Initial announcement of the general policy
requirements that apply to all HUD federal financial assistance NOFAs
for FY2009.
D. Funding Opportunity Number: FR-5300-N-01.
E. Catalog of Federal Domestic Assistance (CFDA) Number: A CFDA
number is provided for each HUD federal financial assistance program.
When using ``Apply Step 1'' on the Grants.gov Web site to download an
application, you will be asked for the CFDA number. Please refer to the
CFDA number in the Grants.gov synopsis of the programs for which you
wish to apply. The CFDA number is a key data element used for the
application search feature of Grants.gov. Use only the CFDA number, the
Funding Competition Identification Number, or the Funding Opportunity
Number, when searching Grants.gov. Using more than one of these items
will result in an error message indicating that the opportunity cannot
be found.
F. Dates: The deadline dates that apply to the federal financial
assistance made available through HUD's FY2009 NOFAs will be found in
the published NOFAs. Appendix A to this General Section lists the
programs expected to be included in HUD's FY2009 NOFAs, and their
anticipated publication time frame.
G. Additional Overview Content Information: Unless otherwise
stated, HUD's general policy requirements set forth in this notice
apply to all HUD federal financial assistance made available through
HUD's FY2009 NOFAs. These policies cover all NOFAs issued for FY2009
funding.
Full Text of Announcement
I. Funding Opportunity Description
This notice describes HUD's FY2009 policy requirements applicable
to all of HUD's NOFAs published in FY2009. Each published NOFA will
contain a description of the specific requirements for the program for
which funding is made available and each will refer to applicable
policies described in this General Section. Each program NOFA will also
describe additional procedures and requirements that apply to the
individual program NOFA, including a description of the eligible
applicants, eligible activities, threshold requirements, factors for
award, variations from the General Section requirements, and any
additional program requirements or limitations. To adequately address
all of the application requirements for any program for which you
intend to apply, please carefully read and respond to both this General
Section and the individual program NOFAs.
Authority. HUD's authority for making funding available under its
FY2009 programs is identified in each program NOFA.
II. Award Information
Funding Available. Each program NOFA will identify the estimated
amount of funds available in FY2009 based on anticipated or available
appropriations, plus any funds from previous years available for award
in FY2009. Appendix A to this General Section lists the programs HUD
expects to issue NOFAs for in FY2009.
Additional program NOFAs may be published during FY2009. Any
additional funding opportunities will be made available on http://
www.Grants.gov and the Federal Register.
III. Eligibility Information
A. Eligible Applicants. The individual program NOFAs describe the
eligible applicants and eligible activities for each program.
Applicants should be aware that HUD does not directly fund individuals
through its competitive NOFA process.
B. Cost Sharing or Matching. The program NOFAs describe the
applicable cost sharing, matching requirements, or leveraging
requirements related to each program, if any. Although matching or cost
sharing may not be required, HUD programs often encourage applicants to
leverage grant funds with other funding to receive higher rating
points.
It is important to note that the following Office of Management and
Budget (OMB) circulars are applicable, and particular attention should
be given to the provisions concerning the use of federal funds for
matching requirements.
OMB Circular A-102 (Grants and Cooperative Agreements with State
and Local Governments) establishes consistency and uniformity among
federal agencies in the management of grants and cooperative agreements
with state, local, and federally recognized Indian tribal governments.
The circular
[[Page 79550]]
provides that state and local administration of federal funds must
include fiscal and administrative requirements that are sufficiently
specific to ensure that funds are used in compliance with all
applicable federal statutory and regulatory provisions, costs are
reasonable and necessary for operating these programs, and funds are
not to be used for general expenses required to carry out other
responsibilities of a state or its subrecipients. HUD's implementation
of OMB Circular A-102 is found at 24 CFR part 85.
OMB Circular A-110 (Uniform Administrative Requirements for Grants
and Agreements with Institutions of Higher Education, Hospitals, and
Other Non-Profit Organizations) sets forth standards for obtaining
consistency and uniformity among federal agencies in the administration
of grants and agreements with institutions of higher education,
hospitals, and other nonprofit organizations. This circular specifies
the conditions for which funds may be used for cost sharing or matching
and provides that federal funds shall not be accepted as cost sharing
or matching, except where authorized by federal statute to be used for
cost sharing or matching. HUD's implementation of OMB Circular A-110 is
found at 24 CFR part 84.
OMB Circular A-87 (2 CFR Part 225) (Cost Principles for State,
Local, and Indian Tribal Governments) establishes principles and
standards for determining costs for federal awards carried out through
grants, cost reimbursement contracts, and other agreements with state
and local governments and federally recognized Indian tribal
governments (governmental units). This circular provides that an
allowable cost under a federal award does not include a cost sharing or
matching requirement of any other federal award in the applicable
funding period, except as specifically provided by federal law or
regulation.
OMB Circular A-122 (2 CFR 230) (Cost Principles for Non-Profit
Organizations) establishes principles for determining costs of grants,
contracts, and other agreements with nonprofit organizations. This
circular provides, similar to OMB Circular A-87, that an allowable cost
under a federal award in the applicable funding period does not include
a cost sharing or matching requirement of any other federally financed
program.
Note: Applicants for funding under HUD's FY2009 NOFA are
reminded of the importance of confirming that any federal grant
funds that they intend to use as a cost sharing or matching share
are available to be used as matching funds under applicable statutes
and regulations.
C. Other Requirements and Procedures Applicable to All Programs.
Except as may be modified in the individual program NOFAs, the
requirements, procedures, and principles listed below apply to all HUD
programs in FY2009 for which funding is announced by NOFA and published
in the Federal Register. Please read the individual program NOFAs for
additional requirements and information.
1. Statutory and Regulatory Requirements. To be eligible for
funding under HUD NOFAs issued during FY2009, applicants must meet all
statutory and regulatory requirements applicable to the program or
programs for which they seek funding. Applicants requiring program
regulations may obtain them from the NOFA Information Center or through
HUD's grants Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. See the individual program NOFAs for instructions on
how HUD will respond to proposed activities that are ineligible.
2. Threshold Requirements.
a. Ineligible Applicants. HUD will not consider an application from
an ineligible applicant.
b. Dun and Bradstreet Data Universal Numbering System (DUNS) Number
Requirement. All applicants seeking funding directly from HUD must
obtain a DUNS number and include the number in their Application for
Federal Assistance submission. Failure to provide a DUNS number will
prevent an applicant from obtaining an award, regardless of whether it
is a new award or renewal of an existing one. This policy is pursuant
to the OMB policy issued in the Federal Register on June 27, 2003 (68
FR 38402). HUD published its regulation implementing the DUNS number
requirement on November 9, 2004 (69 FR 65024). A copy of the OMB
Federal Register notice and HUD's regulation implementing the DUNS
number can be found on HUD's Web site at http://www.hud.gov/offices/adm/grants/duns.cfm. When registering with Dun and Bradstreet, please
be sure to use the organization's legal name that is used when filing a
return with or making payments to the Internal Revenue Service.
Organizations should also provide the zip code using the zip code plus
the four additional digits. The DUNS number used in the application
must be for the applicant organization, not the entity submitting the
application on behalf of the applicant.
c. Compliance with Fair Housing and Civil Rights Laws.
(1) With the exception of federally recognized Indian tribes and
their instrumentalities, applicants must comply with all applicable
fair housing and civil rights requirements in 24 CFR 5.105(a). If you
are a federally recognized Indian tribe, you must comply with the
nondiscrimination provisions enumerated at 24 CFR 1000.12, as
applicable. In addition to these requirements, there may be program-
specific threshold requirements identified in the individual program
NOFAs.
(2) If you, the applicant:
(a) Have been charged with an ongoing systemic violation of the
Fair Housing Act; or
(b) Are a defendant in a Fair Housing Act lawsuit filed by the
Department of Justice alleging an ongoing pattern or practice of
discrimination; or
(c) Have received a letter of findings identifying ongoing systemic
noncompliance under Title VI of the Civil Rights Act of 1964, section
504 of the Rehabilitation Act of 1973, or section 109 of the Housing
and Community Development Act of 1974, and the charge, lawsuit, or
letter of findings referenced in subparagraphs (a), (b), or (c) above
has not been resolved to HUD's satisfaction before the application
deadline, then you are ineligible and HUD will not rate and rank your
application. HUD will determine if actions to resolve the charge,
lawsuit, or letter of findings taken before the application deadline
are sufficient to resolve the matter.
Examples of actions that would normally be considered sufficient to
resolve the matter include, but are not limited to:
(i) A voluntary compliance agreement signed by all parties in
response to a letter of findings;
(ii) A HUD-approved conciliation agreement signed by all parties;
(iii) A consent order or consent decree; or
(iv) An issuance of a final judicial ruling or a HUD Administrative
Law Judge's decision.
d. Conducting Business in Accordance with Core Values and Ethical
Standards/Code of Conduct. Applicants subject to 24 CFR parts 84 or 85
(most nonprofit organizations and state, local, and Indian tribal
governments or government agencies or instrumentalities that receive
federal awards of financial assistance) are required to develop and
maintain a written code of conduct (see 24 CFR 84.42 and 85.36(b)(3)).
Consistent with regulations governing specific programs, your code of
conduct must prohibit real and apparent conflicts of interest that
[[Page 79551]]
may arise among officers, employees, or agents; prohibit the
solicitation and acceptance of gifts or gratuities by your officers,
employees, or agents for their personal benefit in excess of minimal
value; and outline administrative and disciplinary actions available to
remedy violations of such standards. Before entering into an agreement
with HUD, an applicant awarded assistance under a HUD program NOFA
announced in FY2009 will be required to submit a copy of its code of
conduct and describe the methods it will use to ensure that all
officers, employees, and agents of its organization are aware of its
code of conduct. An applicant is prohibited from receiving an award of
funds from HUD if it fails to meet this requirement for a code of
conduct. An applicant that previously submitted an application and
included a copy of its code of conduct will not be required to submit
another copy if the applicant is listed on HUD's Web site http://www.hud.gov/offices/adm/grants/codeofconduct/cconduct.cfm, and if the
information has not been revised. An applicant not listed on the Web
site must submit a copy of its code of conduct with its FY2009
application for assistance. An applicant must also include a copy of
its code of conduct if the information listed on the above Web site has
changed (e.g., the person who submitted the previous application is no
longer the authorized organization representative, the organization has
changed its legal name or merged with another organization, or the
address of the organization has changed, etc.). Any applicant that
needs to may submit its code of conduct to HUD via facsimile using the
form HUD-96011, ``Facsimile Transmittal'' (``Third Party Documentation
Facsimile Transmittal'' on Grants.gov) at the time of application
submission. This form is available as part of your application package
that was downloaded from Grants.gov. When using the facsimile
transmittal form, please type the requested information. Use the form
HUD-96011 as the cover page for the submission and include the
following header in the top line of the form under Name of Document
Being Requested: ``Code of Conduct for (insert your organization's
name, city, and state).'' Fax the information to HUD's toll-free number
at 800-HUD-1010. If you cannot access the 800 number or have problems,
you may use 215-825-8798 (this is not a toll-free number). These are
new numbers for FY2009 applications. These facsimile numbers are not
those used for FY2008. If you use the wrong fax number, your fax will
be entered as part of HUD's FY2008 database. HUD cannot search its
FY2008 database to match FY2009 faxes to FY2009 applications. As a
result, your application will be reviewed without faxed information if
you fail to use the FY2009 fax numbers.
Continuum of Care applicants should follow the directions in the
Continuum of Care program NOFA for submission of Codes of Conduct.
e. Delinquent Federal Debts. It is HUD policy, consistent with the
purposes and intent of 31 U.S.C. 3720B and 28 U.S.C. 3201(e), that
applicants with an outstanding federal debt will not be eligible to
receive an award of funds from the Department unless: (1) A negotiated
repayment schedule is established and the repayment schedule is not
delinquent, or (2) other arrangements satisfactory to HUD are made
prior to the award of funds by HUD. If arrangements satisfactory to HUD
cannot be completed within 90 days of notification of selection, HUD
will not make an award of funds to the applicant, but offer the award
to the next eligible applicant. Applicants selected for funding, or
awarded funds, must report to HUD changes in status of current
agreements covering federal debt. HUD may withhold funding, terminate
an award, or seek other remedies from a grantee if a previously agreed-
upon payment schedule has not been adhered to or a new agreement with
the federal agency to which the debt is owed has not been signed.
f. Pre-Award Accounting System Surveys. HUD may arrange for a pre-
award survey of the applicant's financial management system if the
recommended applicant has no prior federal support, if HUD's program
officials have reason to question whether the applicant's financial
management system meets federal financial management standards, or if
the applicant is considered a high risk based upon past performance or
financial management findings. HUD will not disburse funds to any
applicant that does not have a financial management system that meets
federal standards. (Please see 24 CFR 84.21 if you are an institution
of higher education, hospital, or other nonprofit organization. See 24
CFR 85.20 if you are a state, local government, or federally recognized
Indian tribe).
g. Name Check Review. Applicants are subject to a name check review
process. Name checks are intended to reveal matters that significantly
reflect on the applicant's management and financial integrity,
including if any key individual has been convicted or is presently
facing criminal charges. If the name check reveals significant adverse
findings that reflect on the business integrity or responsibility of
the applicant or any key individual, HUD reserves the right to: (1)
Deny funding, or in the case of a renewal or continuing award, consider
suspension or termination of an award immediately for cause, (2)
require the removal of any key individual from association with
management or implementation of the award, and (3) make appropriate
provisions or revisions with respect to the method of payment or
financial reporting requirements.
h. False Statements. A false statement in an application is grounds
for denial or termination of an award and possible punishment, as
provided in 18 U.S.C. 1001.
i. Prohibition Against Lobbying Activities. Applicants are subject
to the provisions of Section 319 of Public Law 101-121 (approved
October 23, 1989) (31 U.S.C. 1352) (the Byrd Amendment), which
prohibits recipients of federal contracts, grants, or loans from using
appropriated funds for lobbying the executive or legislative branches
of the federal government in connection with a specific contract,
grant, or loan. In addition, applicants must disclose, using Standard
Form LLL (SF-LLL), ``Disclosure of Lobbying Activities,'' any funds,
other than federally appropriated funds, that will be or have been used
to influence federal employees, members of Congress, or congressional
staff regarding specific grants or contracts. Federally recognized
Indian tribes and tribally designated housing entities (TDHEs)
established by federally recognized Indian tribes as a result of the
exercise of the tribe's sovereign power are excluded from coverage of
the Byrd Amendment, but state-recognized Indian tribes and TDHEs
established only under state law must comply with this requirement.
Applicants must submit the SF-LLL if they have used or intend to use
federal funds for lobbying activities.
j. Debarment and Suspension. In accordance with 2 CFR part 2424, no
award of federal funds may be made to applicants that are presently
debarred or suspended, or proposed to be debarred or suspended from
doing business with the federal government.
3. Other Threshold Requirements. The individual program NOFAs for
which you are applying may specify other threshold requirements.
Additional threshold requirements may be identified in the discussion
of ``eligibility'' requirements in the individual program NOFAs. If a
program NOFA requires a certification of consistency with the
Consolidated Plan and the applicant fails to provide
[[Page 79552]]
a certification, and such failure is not cured as a technical
deficiency, HUD will not fund the application. If HUD is provided a
signed certification indicating consistency with the area's approved
Consolidated Plan and HUD finds that the activities are not consistent
with the Consolidated Plan, HUD will not fund the inconsistent
activities or will deny funding the application if a majority of the
activities are not consistent with the approved Consolidated Plan. The
determination not to fund an activity or to deny funding may be
determined by a number of factors, including the number of activities
being proposed, the impact of the elimination of the activities on the
proposal, or the percent of the budget allocated to the proposed
activities.
4. Additional Nondiscrimination and Other Requirements. Applicants
and their subrecipients must comply with:
a. Civil Rights Laws, including the Americans with Disabilities Act
of 1990 (42 U.S.C. 12101 et seq.), the Age Discrimination Act of 1974
(42 U.S.C. 6101 et seq.), and Title IX of the Education Amendments Act
of 1972 (20 U.S.C. 1681 et seq.).
b. Affirmatively Furthering Fair Housing. Under section 808(e)(5)
of the Fair Housing Act, HUD has a statutory duty to affirmatively
further fair housing. HUD requires the same of its funding recipients.
If you are a successful applicant, you will have a duty to
affirmatively further fair housing opportunities for classes protected
under the Fair Housing Act. Protected classes include race, color,
national origin, religion, sex, disability, and familial status. Unless
otherwise instructed in the individual program NOFA, your application
must include specific steps to:
(1) Overcome the effects of impediments to fair housing choice that
were identified in the jurisdiction's Analysis of Impediments (AI) to
Fair Housing Choice (See Certification requirements under 24 CFR
91.225);
(2) Remedy discrimination in housing; and
(3) Promote fair housing rights and fair housing choice.
Further, you, the applicant, have a duty to carry out the specific
activities provided in your responses to the individual program NOFA
rating factors that address affirmatively furthering fair housing.
These requirements apply to all HUD programs announced via a NOFA,
unless specifically excluded in the individual program NOFA.
c. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Certain programs to be issued during FY2009 require
recipients of assistance to comply with section 3 of the Housing and
Urban Development Act of 1968 (Section 3), 12 U.S.C. 1701u (Economic
Opportunities for Low- and Very Low-Income Persons in Connection with
Assisted Projects), and the HUD regulations at 24 CFR part 135. Review
the individual program NOFAs to determine if section 3 applies to the
program for which you are seeking funding. Section 3 requires
recipients to ensure, to the greatest extent feasible, that training,
employment, and other economic opportunities will be directed to low-
and very-low income persons, particularly those who are recipients of
government assistance for housing, and to business concerns that
provide economic opportunities to low- and very low-income persons in
the area in which the project is located. The section 3 regulations at
24 CFR part 135, subpart E, impose certain reporting requirements on
recipients, including the submission of an annual report, using form
HUD-60002 or HUD's online system at http://www.hud.gov/offices/fheo/section3/section3.cfm. Grantees reporting Section 3 activities in paper
format should mail the report to: U.S. Department of Housing and Urban
Development, Office of Fair Housing and Equal Opportunity, Economic
Development Opportunity Division, 451 7th Street, SW., Room 5232,
Washington, DC 20410.
The annual report is highly important to the Department in
determining compliance with Section 3. Applicants are placed on notice
that they are required to annually report section 3 data, as
applicable. Failure to meet reporting requirements can result in
sanctions such as debarment, suspension, or denial of participation in
HUD programs (24 CFR 135.76(g)).
d. Ensuring the Participation of Small Businesses, Small
Disadvantaged Businesses, and Women-Owned Businesses. HUD is committed
to ensuring that small businesses, small disadvantaged businesses, and
women-owned businesses participate fully in HUD's direct contracting
and in contracting opportunities generated by HUD financial assistance.
Too often, these businesses still experience difficulty accessing
information and successfully bidding on federal contracts. State,
local, and Indian tribal governments are required by 24 CFR 85.36(e)
and nonprofit recipients of assistance (grantees and subgrantees) by 24
CFR 84.44(b) to take all necessary affirmative steps in contracting for
the purchase of goods or services to assure that minority firms, women-
owned business enterprises, and labor surplus area firms are used
whenever possible or as specified in the individual program NOFAs.
e. Real Property Acquisition and Relocation. Except as otherwise
provided by federal statute, HUD-assisted programs or projects are
subject to the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended (Uniform Act or URA) (42
U.S.C. 4601), and the governmentwide implementing regulations issued by
the U.S. Department of Transportation at 49 CFR part 24. The Uniform
Act's protections and assistance apply to acquisitions of real property
and displacements resulting from the acquisition, rehabilitation, or
demolition of real property for federal or federally assisted programs
or projects. With certain limited exceptions, real property
acquisitions for a HUD-assisted program or project must comply with 49
CFR part 24, subpart B. To be exempt from the URA's acquisition
policies, real property acquisitions conducted without the threat or
use of eminent domain, commonly referred to as ``voluntary
acquisitions,'' must satisfy the applicable requirements of 49 CFR
24.101(b)(1) through (5). Evidence of compliance with these
requirements must be maintained by the recipient. The URA's relocation
requirements remain applicable to any tenant who is displaced by an
acquisition that meets the requirements of 49 CFR 24.101(b)(1) through
(5).
The relocation requirements of the Uniform Act, and its
implementing regulations at 49 CFR part 24, cover any person who moves
permanently from real property or moves personal property from real
property as a direct result of acquisition, rehabilitation, or
demolition for a program or project receiving HUD assistance. While
there are no statutory provisions for ``temporary relocation'' under
the URA, the URA regulations recognize that there are circumstances
where a person will not be permanently displaced but may need to be
moved from a project for a short period of time. Appendix A of the URA
regulation (49 CFR 24.2(a)(9)(ii)(D)) explains that any tenant who has
been temporarily relocated for a period beyond one year must be
contacted by the displacing agency and offered URA relocation
assistance. Some HUD program regulations provide additional protections
for temporarily relocated tenants. For example, 24 CFR 583.310(f)(1)
provides guidance on temporary relocation for the Supportive Housing
Program for the homeless. Before planning their project, applicants
[[Page 79553]]
should review the regulations for the programs for which they are
applying. Generally, the URA does not apply to displacements resulting
from the demolition or disposition of public housing covered by section
18 of the United States Housing Act of 1937.
Additional information and resources pertaining to real property
acquisition and relocation for HUD-funded programs and projects are
available on HUD's Real Estate Acquisition and Relocation Web site at
http://www.hud.gov/relocation. The Web site contains applicable laws
and regulations, policy and guidance, publications, training resources,
and a listing of HUD contacts to answer questions or otherwise provide
assistance.
f. Executive Order 13166, ``Improving Access to Services for
Persons with Limited English Proficiency (LEP).'' Executive Order 13166
seeks to improve access to federally assisted programs and activities
for individuals who, as a result of national origin, are limited in
their English proficiency. Applicants obtaining federal financial
assistance from HUD shall take reasonable steps to ensure meaningful
access to their programs and activities to LEP individuals. As an aid
to recipients, HUD published Final Guidance to Federal Financial
Assistance Recipients Regarding Title VI Prohibition Against National
Origin Discrimination Affecting Limited English Proficient Persons (LEP
Guidance) in the Federal Register on January 22, 2007 (72 FR 2732). For
assistance and information regarding LEP obligations, go to http://www.hud.gov/offices/fheo/promotingfh/lep.cfm. A link to the LEP
Guidance can be found on that page.
g. Executive Order 13279, ``Equal Protection of the Laws for Faith-
Based and Community Organizations.'' HUD is committed to full
implementation of Executive Order 13279. The Executive Order
established fundamental principles and policymaking criteria to guide
federal agencies in formulating and developing policies that have
implications for faith-based and community organizations, to ensure the
equal protection for these organizations in social service programs
receiving federal financial assistance. Consistent with this order, HUD
has reviewed all Departmental policies and regulations that have
implications for faith-based and community organizations and has
established a policy priority to provide full and equal access to
grassroots faith-based and other community organizations in HUD program
implementation. HUD revised its program regulations in 2003 and 2004 to
remove the barriers to participation by faith-based organizations in
HUD funding programs (68 FR 56396, September 30, 2003; 69 FR 41712,
July 9, 2004; and 69 FR 62164, October 22, 2004). Copies of the
regulatory changes can be found at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
h. Accessible Technology. Section 508 of the Rehabilitation Act
(Section 508) requires HUD and other federal departments and agencies
to ensure, when developing, procuring, maintaining, or using electronic
and information technology (EIT), that the EIT allow, regardless of the
type of medium, persons with disabilities to access and use information
and data on a comparable basis as is made available to and used by
persons without disabilities. Section 508's coverage includes, but is
not limited to, computers (hardware, software, word processing, e-mail,
and Internet sites), facsimile machines, copiers, and telephones. Among
other things, Section 508 requires that, unless an undue burden would
result to the federal department or agency, EIT must allow individuals
with disabilities who are federal employees or members of the public
seeking information or services to have access to and use of
information and data on a comparable basis as that made available to
employees and members of the public who are not disabled. Where an
undue burden exists to the federal department or agency, alternative
means may be used to allow a disabled individual use of the information
and data. Section 508 does not require that information services be
provided at any location other than a location at which the information
services are generally provided. HUD encourages its funding recipients
to adopt the goals and objectives of Section 508 by ensuring, whenever
EIT is used, procured, or developed, that persons with disabilities
have access to and use of the information and data made available
through the EIT on a basis comparable as is made available to and used
by persons without disabilities. This does not affect recipients'
required compliance with section 504 of the Rehabilitation Act and,
where applicable, the Americans with Disabilities Act. Applicants and
recipients seeking further information on accessible technology should
go to http://www.section508.gov/.
i. Procurement of Recovered Materials. State agencies and agencies
of a political subdivision of a state that are using assistance under a
HUD program NOFA for procurement, and any person contracting with such
an agency with respect to work performed under an assisted contract,
must comply with the requirements of section 6002 of the Solid Waste
Disposal Act, as amended by the Resource Conservation and Recovery Act.
In accordance with section 6002, these agencies and persons must
procure items designated in guidelines of the Environmental Protection
Agency (EPA) at 40 CFR part 247 that contain the highest percentage of
recovered materials practicable, consistent with maintaining a
satisfactory level of competition, where the purchase price of the item
exceeds $10,000 or the value of the quantity acquired in the preceding
fiscal year exceeded $10,000; must procure solid waste management
services in a manner that maximizes energy and resource recovery; and
must have established an affirmative procurement program for
procurement of recovered materials identified in the EPA guidelines.
j. Participation in HUD-Sponsored Program Evaluation. As a
condition of the receipt of financial assistance under a HUD program
NOFA, all successful applicants will be required to cooperate with all
HUD staff or contractors who perform HUD-funded research or evaluation
studies.
k. Executive Order 13202, ``Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects.'' Compliance
with HUD regulations at 24 CFR 5.108 that implement Executive Order
13202 is a condition of receipt of assistance under a HUD program NOFA.
l. Salary Limitation for Consultants. FY2009 funds may not be used
to pay or to provide reimbursement for payment of the salary of a
consultant at a rate more than the equivalent of General Schedule 15,
Step 10.
m. OMB Circulars and Governmentwide Regulations Applicable to
Financial Assistance Programs. Certain OMB Circulars (2 CFR 225) also
apply to HUD program NOFAs. The policies, guidance, and requirements of
OMB Circulars A-87 (Cost Principles Applicable to Grants, Contracts and
Other Agreements With State and Local Governments), A-21 (Cost
Principles for Education Institutions), A-122 (Cost Principles for Non-
Profit Organizations), A-133 (Audits of States, Local Governments, and
Non-Profit Organizations), and the regulations at 24 CFR part 84
(Grants and Agreements With Institutions of Higher Education,
Hospitals, and Other Non-Profit Organizations), and 24 CFR part 85
(Administrative Requirements for Grants and Cooperative Agreements
[[Page 79554]]
to State, Local, and Federally Recognized Indian Tribal Governments)
may apply to the award, acceptance, and use of assistance under the
individual program NOFAs, and to the remedies for noncompliance, except
when inconsistent with the provisions of HUD's Appropriations Act for
FY2009, other federal statutes or regulations, or the provisions of
this notice. Compliance with additional OMB circulars or governmentwide
regulations may be specified for a particular program in the Program
Section NOFA. Copies of the OMB circulars may be obtained from http://www.whitehouse.gov/omb/circulars/index.html, or the Executive Office of
the President Publications, New Executive Office Building, Room 2200,
Washington, DC 20503; telephone number 202-395-3080 (this is not a
toll-free number). Individuals with speech or hearing impairments may
access this number by dialing 800-877-8339 (toll-free TTY Federal
Information Relay Service).
n. Environmental Requirements. If you become a recipient under a
HUD program that assists in physical development activities or property
acquisition, you are generally prohibited from acquiring,
rehabilitating, converting, demolishing, leasing, repairing, or
constructing property, or committing or expending HUD or non-HUD funds
for these types of program activities, until one of the following has
occurred:
(1) HUD has completed an environmental review in accordance with 24
CFR part 50; or
(2) For programs subject to 24 CFR part 58, HUD has approved a
recipient's Request for Release of Funds (form HUD-7015.15) following a
responsible entity's completion of an environmental review.
You, the applicant, should consult the individual program NOFA for
any program for which you are interested in applying to determine the
procedures for, timing of, and any modifications or exclusions from
environmental review under a particular program.
o. Conflicts of Interest. If you are a consultant or expert who is
assisting HUD in rating and ranking applicants for funding under HUD
NOFAs published in FY2009, you are subject to 18 U.S.C. 208, the
federal criminal conflict-of-interest statute, and the Standards of
Ethical Conduct for Employees of the Executive Branch regulation
published at 5 CFR part 2635. As a result, if you have assisted or plan
to assist applicants with preparing applications for NOFAs published in
FY2009, you may not serve on a selection panel and you may not serve as
a technical advisor to HUD. Persons involved in rating and ranking HUD
FY2009 NOFAs, including experts and consultants, must avoid conflicts
of interest or the appearance of such conflicts. Persons involved in
rating and ranking applications must disclose to HUD's General Counsel
or HUD's Ethics Law Division the following information, if applicable,
how the selection or non-selection of any applicant under FY2009 NOFAs
will affect the individual's financial interests, as provided in 18
U.S.C. 208, or how the application process involves a party with whom
the individual has a covered relationship under 5 CFR 2635.502. The
person must disclose this information before participating in any
matter regarding an FY2009 NOFA. If you have questions regarding these
provisions or concerning a conflict of interest, you may call the
Office of General Counsel, Ethics Law Division, at 202-708-3815 (this
is not a toll-free number).
p. Drug-Free Workplace. Applicants awarded funds from HUD are
required to provide a drug-free workplace. Compliance with this
requirement means that the applicant will:
(1) Publish a statement notifying employees that it is unlawful to
manufacture, distribute, dispense, possess, or use a controlled
substance in the applicant's workplace and that such activities are
prohibited. The statement must specify the actions that will be taken
against employees for violation of this prohibition. The statement must
also notify employees that, as a condition of employment under the
federal award, they are required to abide by the terms of the statement
and that each employee must agree to notify the employer in writing of
any violation of a criminal drug statute occurring in the workplace no
later than 5 calendar days after such violation;
(2) Establish an ongoing drug-free awareness program to inform
employees about:
(a) The dangers of drug abuse in the workplace;
(b) The applicant's policy of maintaining a drug-free workplace;
(c) Any available drug counseling, rehabilitation, or employee
maintenance programs; and
(d) The penalties that may be imposed upon employees for drug abuse
violations occurring in the workplace;
(3) Notify the federal agency in writing within 10 calendar days
after receiving notice from an employee of a drug abuse conviction or
otherwise receiving actual notice of a drug abuse conviction. The
notification must be provided in writing to HUD's Office of
Departmental Grants Management and Oversight, Department of Housing and
Urban Development, 451 7th Street, SW., Room 3156, Washington DC 20410-
3000, along with the following information:
(a) The program title and award number for each HUD award covered;
(b) The HUD staff contact name, telephone, and fax numbers;
(c) A grantee contact name, telephone, and fax numbers; and
(4) Require that each employee engaged in the performance of the
federally funded award be given a copy of the drug-free workplace
statement required in item (1) above and notify the employee that one
of the following actions will be taken against the employee within 30
calendar days of receiving notice of any drug abuse conviction:
(a) Institution of a personnel action against the employee, up to
and including termination consistent with requirements of the
Rehabilitation Act of 1973, as amended; or
(b) Imposition of a requirement that the employee participate
satisfactorily in a drug abuse assistance or rehabilitation program
approved for such purposes by a federal, state, or local health, law
enforcement, or other appropriate agency.
q. Safeguarding Resident/Client Files. In maintaining resident and
client files, HUD funding recipients shall observe state and local laws
concerning the disclosure of records that pertain to individuals.
Further, recipients are required to adopt and take reasonable measures
to ensure that resident and client files are safeguarded. This includes
when reviewing, printing, or copying client files.
r. Compliance with the Federal Funding Accountability and
Transparency Act of 2006 (Pub. L. 109-282) (Transparency Act).
Applicants receiving an award from HUD should be aware of the
requirements of the Transparency Act. The Transparency Act requires the
establishment of a central Web site that makes information available to
the public regarding entities receiving federal financial assistance,
by not later than January 1, 2008. In fulfillment of the requirements
of the Act, OMB launched http://www.USAspending.gov in December 2007.
The Web site makes information available to the public on the direct
awards made by the federal government. The Transparency Act also
requires, beginning not later than January 2009, that data on subawards
be made available on the same Web site. In anticipation of the
implementation of this requirement, HUD is placing
[[Page 79555]]
awardees of its FY2009 competitive funding on notice of these
requirements and note that once implemented, grantees will be required
to report their subaward data to HUD or a central federal database. The
only exceptions to this requirement under the Transparency Act are: (1)
Federal transactions below $25,000, (2) credit card transactions prior
to October 1, 2008, (3) awards to entities that demonstrate to the
Director of OMB that the gross income of such entity from all sources
did not exceed $300,000 in the previous tax year of such entity, and
(4) awards to individuals. Guidance for receiving an exception under
item (3) above has not been finalized by OMB.
HUD is responsible for placing award information for direct
grantees on the government Web site. The reporting of subaward data is
the responsibility of the grantee. Grantees should be aware that the
law requires the information provided on the federal Web site to
include the following elements related to all subaward transactions,
except as noted above:
(a) The name of the entity receiving the award;
(b) The amount of the award;
(c) Information on the award including the transaction type,
funding agency, the North American Industry Classification System
(NAICS) code or Catalog of Federal Domestic Assistance (CFDA) number
(where applicable), program source, and an award title descriptive of
the purpose of each funding action;
(d) The location of the entity receiving the award and primary
location of performance under the award, including the city, state,
congressional district, and country;
(e) A unique identifier of the entity receiving the award and of
the parent entity of the recipient (the DUNS number), should the entity
be owned by another entity; and
(f) Any other relevant information specified by OMB.
HUD expects OMB to issue further guidance on subaward reporting in
late 2008 or early 2009. Based on preliminary input from the various
federal agencies, applicants should be aware that consideration is
being given to requiring the disclosure of additional data elements to
help track the flow of funding from the original federal award. Such
data elements under consideration include the tier at which the
subaward was made, the federal award number issued to the direct
awardee, the dollar amount of the federal award emanating from the
direct award going to the subawardee, as well as the total subaward
amount, which could include funds from other sources. Additional
information regarding these requirements will be issued by OMB and will
be provided when available.
IV. Application and Submission Information
A. Addresses To Request Application Package
This section describes how applicants may obtain application forms
and request technical assistance.
1. Technical Assistance and Resources for Grants.gov Electronic
Grant Applications.
a. Grants.gov Customer Support. Grants.gov provides customer
support information on its Web site at http://www.grants.gov/contactus/contactus.jsp. Applicants having difficulty accessing the application
and instructions or having technical problems can receive customer
support from Grants.gov by calling 800-518-GRANTS (this is a toll-free
number) or by sending an e-mail to [email protected]. The customer
support center is open from 7 a.m. to 9 p.m. eastern time, Monday
through Friday, except federal holidays. The customer service
representatives will assist applicants in accessing the information and
addressing technology issues, including accessibility problems, in
accordance with section 508 of the Rehabilitation Act (See paragraph
4(h), Accessible Technology). Applicants should ask for a Grants.gov
call center ticket number if not provided one by the call center
customer service representative. In case of issues, HUD relies on the
call center ticket logs as part of the review of records.
b. HUD Web site. The following documents and information can be
found on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
(1) Desktop Users Guide for Submitting Electronic Grant
Applications. HUD will publish on its Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm an update to its detailed Desktop
Users Guide that walks applicants through the electronic process,
beginning with finding a funding opportunity, completing the
registration process, and downloading and submitting the electronic
application. The guide will include helpful step-by-step instructions,
screen shots, and tips to assist applicants in becoming familiar with
submitting applications electronically and overcoming submission
issues, based upon past lessons learned from working with applicants
and the Grants.gov Project Management Office (PMO).
(2) Connecting with Communities: A User's Guide to HUD Programs and
the FY2009 NOFA Process Guidebook. This guidebook to HUD programs will
be available from the HUD NOFA Information Center and at HUD's Funds
Available Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm after the publication of the General Section and when
appropriations have been enacted for FY2009. The guidebook provides a
brief description of all HUD programs that have funding available in
FY2009, identifies eligible applicants for the programs and the program
office responsible for the administration of the program.
(3) NOFA Webcasts. HUD provides technical assistance and training
on its programs announced through its NOFAs. The NOFA broadcasts are
interactive and allow potential applicants to obtain a better
understanding of the threshold, program, and application submission
requirements for funding. Participation in this training opportunity is
free of charge and can be accessed via HUD's Web site. The NOFA webcast
schedule can be found via HUD's Web site at http://www.hud.gov/webcasts/index.cfm.
c. HUD's NOFA Information Center. Applicants that do not have
Internet access and need to obtain a copy of a NOFA can contact HUD's
NOFA Information Center, toll free, at 800-HUD-8929. Persons with
hearing or speech impairments may access this number, toll free, via
TTY by calling the Federal Information Relay Service at 800-877-8339.
The NOFA Information Center is open between the hours of 10 a.m. and
6:30 p.m. eastern time, Monday through Friday, except federal holidays.
d. HUD Staff. HUD staff will be available to provide you with
general guidance and technical assistance about this notice or about
individual program NOFAs. However, HUD staff is not permitted to help
prepare your application. Following selection of applicants, but before
announcement of awards, HUD staff is available to assist in clarifying
or confirming information that is a prerequisite to the offer of an
award or annual contributions contract (ACC) by HUD. If you have
program-related questions, follow the instructions in section VII of
the Program Section entitled ``Agency Contact(s)'' in the program NOFA
under which you are applying. If you have difficulty in submitting your
application, please first contact the Grants.gov Help Desk. The
Grants.gov Help Desk can be reached by calling
[[Page 79556]]
800-518-GRANTS or e-mailing Support@Grants.gov. HUD recommends calling
the Help Desk rather than e-mailing, because determining the basis for
the problem may take some conversation with the Grants.gov Support
Customer Service Representative. Grants.gov can try to assist you in
overcoming technology obstacles, but can only provide assistance with
24 to 48 hours advance notice so it has resources and time to diagnose
the problems. Applicants are reminded to retain any Grants.gov Help
Desk ticket number(s).
B. Content and Form of Application Submission
1. Use of Adobe Forms Application Packages. In FY2009, HUD is again
using Adobe Forms in the application packages available from
Grants.gov. The Adobe Forms packages are compatible with the Microsoft
Windows Vista operating system, Apple Macintosh computers, and
Microsoft Office 2007. For more information, see the Grants.gov Web
site at http://www.grants.gov/assets/Vista_and_office_07_Compatibility.pdf. Applicants need to pay strict attention to the
submission instructions provided in this notice to have a successful
submission using the Adobe Forms packages.
2. Instructions on How to Register for Electronic Application
Submission. Applicants must submit their applications electronically
through Grants.gov. Before you can do so, you must complete several
important steps to register as a submitter. The registration process
can take approximately 2 to 4 weeks to complete. Therefore,
registration should be done in sufficient time before you submit your
application. To register, applicants must complete five sequential
steps:
a. Step One: Obtain a Dun and Bradstreet Data Universal Numbering
System (DUNS);
b. Step Two: Register with the CCR;
c. Step Three: Register with the Credential Provider;
d. Step Four: Register with Grants.gov; and
e. Step Five: Granting Approval of an AOR to Submit an Application
on Behalf of the Organization.
All five steps must be completed to have a valid registration and
to be able to successfully submit an application via Grants.gov.
Detailed explanation of each step and important information related to
each step in the process is available in HUD's Early Registration
notice, published December 5, 2008 (73 FR 74179). Detailed information
is also described below.
3. Key Terms Used as Part of the Registration Process.
a. Applicant Organization. The applicant organization is an entity
that is identified as the legal applicant for funding in box 8a on the
SF-424, Application for Federal Assistance, and is the organization
that HUD will hold accountable to fulfill the requirements of the
award, should the applicant be selected for funding. Grant writers or
persons authorized to submit an application for funding by the
applicant organization eBusiness Point of Contact (see definition
below) must not enter their organization or their organization's DUNS
number in the SF-424, Application for Federal Assistance. Grant writers
who wish to submit an application on behalf of an applicant
organization must become an AOR to submit the application. (See
definition of Authorized Organization Representative below, and
registration instructions for AORs later in this notice).
b. Authorized Organization Representative (AOR). The applicant
organization (applicant legal name on box 8a of the SF-424) E-Biz POC
must grant permission for a person to become an AOR and submit an
application on behalf of the applicant organization through the
Grants.gov system. Authorizing an AOR safeguards the applicant
organization from unauthorized individuals who may attempt to submit a
grant application without permission. To check the AOR status, go to
https://apply07.grants.gov/apply/ApplicantLoginGetID. Then, using the
user name and password (obtained from the Credential Provider), check
to see if the E-Biz POC has granted approval or if the request to be an
AOR is noted as ``Request Sent.'' If the information says ``Request
Sent,'' the approval has not been granted. AORs are advised to contact
the E-Biz POC to determine the basis for the lack of approval. A
proposed AOR cannot submit the application to Grants.gov without AOR
status noted as ``Approved.''
c. eBusiness Point of Contact (E-Biz POC). The E-Biz POC is
identified during the Central Contractor Registration Process (Step 2
of the Registration Process). The E-Biz POC must grant authority for a
person to be the AOR. An E-Biz POC may serve as an AOR as well as an E-
Biz POC. The E-Biz POC becomes the sole Grants.gov authority for the
organization and has the capability of designating or revoking an AOR's
ability to submit a grant application on behalf of the organization
using the Grants.gov system.
d. Marketing Partner ID Number (MPIN). As part of the CCR
Registration Process, the E-Biz POC will be asked to create an MPIN.
The MPIN is a nine character (alpha numeric) password that is used to
access other systems and should be well guarded. For organizations
wishing to apply for federal grants using the Grants.gov system, the
MPIN is required for the E-Biz POC to log into the Grants.gov system
and grant the person requesting permission to be an AOR, the permission
to submit the grant on behalf of the applicant organization.
e. Trading Partner Identification Number (TPIN). A TPIN is a
password that is used to access the applicant organization's Central
Contractor Registration (CCR) data. Organizations that become active in
CCR are issued a TPIN (password) to access their record in order to
make, or request, any changes or updates to their CCR registration.
Because of the sensitivity of this data, CCR recommends that CCR
registrants not disclose their TPIN to anyone under any circumstances.
4. Instructions on Completing the Registration Process for New
Applicants or Applicants Updating or Renewing Registration.
a. The Need to Register with Grants.gov.
HUD provides funding to organizations only. This information,
therefore, is directed to HUD applicants that are organizational
entities.
Before an applicant can apply for a grant opportunity, the
applicant must first register with Grants.gov to provide and obtain
certain identifying information. Please note that registration is a
multi-step process. The registration process also requires the
applicant organization to provide information at Web sites other than
Grants.gov. Registration protects both HUD and the applicant.
Specifically, registration confirms that the applicant organization E-
Biz POC has designated and authorized a certain individual or entity to
submit an application on its behalf and assures HUD that it is
interacting with a designated representative of the applicant who has
been authorized to submit the application.
b. Steps to Register. HUD's NOFA process requires applicants to
submit applications electronically through Grants.gov. Before being
able to do so, applicants must complete several important steps to
register or update/renew their registration to be able to submit the
application. The registration process can take approximately 2 to 4
weeks to complete.
[[Page 79557]]
(1) Step One: Obtain a Dun and Bradstreet Data Universal Numbering
System (DUNS). Step One of the registration process requires an
applicant organization to obtain a DUNS number for the organizational
entity for which an application for federal assistance will be
submitted. All organizations seeking funding directly from HUD must
have a DUNS number and include the number on the form SF-424,
Application for Federal Assistance, which is part of the application
package. The DUNS number is also required as part of the registration
process. If the applicant organizational entity identified in box 8a on
the SF-424 already has a DUNS number, it must use that number. The
number must be registered with the legal name of the organizational
entity. Failure to provide a DUNS number or the correct DUNS number
associated to the applicant organization legal name as entered on the
form SF-424, box 8a and CCR can prevent you from submitting a grant
application or obtaining an award, regardless of whether it is a new
award or renewal of an existing one. This policy is pursuant to OMB
policy issued in the Federal Register on June 27, 2003 (68 FR 38402).
HUD codified the DUNS number requirement on November 9, 2004 (69 FR
65024). A copy of the OMB Federal Register notice and HUD's regulation
codifying the DUNS number requirement can be found at http://www.hud.gov/offices/adm/grants/duns.cfm. Applicants cannot submit an
electronic application without a DUNS number. An incorrect DUNS number
in an application package will result in Grants.gov rejecting the
application, because the DUNS number entered in the application will
not be consistent with the DUNS number associated to the applicant
legal name as entered in box 8a of the form SF-424, CCR, and Internal
Revenue Service (IRS) records. The applicant legal name and DUNS number
used on the application must match the DUNS number and organization
name used in the CCR. Applicants must note that information entered and
used to obtain the DUNS number will be used to pre-populate the CCR,
which is Step Two of the registration process. Applicants should,
therefore, carefully review information entered when obtaining a DUNS
number. When registering with Dun and Bradstreet (D&B), please be sure
to use the organizational entity's legal name used when filing a return
or making a payment to the Internal Revenue Service (IRS).
Organizations should also provide the zip code using the zip code plus
four code (Zip+4).
Applicants can obtain a DUNS number by calling 866-705-5711 option
4 for grant applicants. (This is a toll-free number.) Applicants in
Alaska and Puerto Rico can call 800-234-3867. The approximate time to
get a DUNS number is 10 to 15 minutes, and there is no charge.
Applicants may also obtain a DUNS number by accessing the D&B Web site
at http://fedgov.dnb.com/webform. The approximate time to create the
number online is one business day. After obtaining a DUNS number,
applicants should wait 24 to 48 hours to register with the CCR so that
its DUNS number has time to become activated in the D&B records
database.
(2) Step Two: Register with the CCR. The second step of the
registration process is registering with the CCR. The CCR is the
primary registrant database for the federal government. An organization
planning to submit a grant application for the first time must
register, using its legal business name and name used with the IRS. CCR
allows you to establish roles and user names for representatives that
will use Grants.gov to submit electronic grant applications. Applicant
organizations must annually update or renew their registration at
http://www.ccr.gov, by clicking on the link entitled ``Update or Renew
Registration.'' If you need assistance with the CCR registration
process, you can contact the CCR Assistance Center, 24 hours a day, 7
days a week, at 888-277-2423 or 269-961-5757. Applicants can also
obtain assistance online at http://www.ccr.gov. A CCR Handbook that
guides applicants through the registration process is available on the
CCR Web site by clicking on ``Help.'' If an applicant organization
fails to update/renew its CCR registration, the Grants.gov registration
will lapse prohibiting the application from being accepted by
Grants.gov due to failure to have a complete registration.
Registration, including update/renewal, can take several weeks as CCR
compares its records to those maintained by D&B and the IRS. The
records of D&B, CCR, and the IRS must match. If discrepancies arise,
Step Two cannot be completed until the discrepancies are resolved. For
this reason, HUD urges applicants to complete the CCR registration, or
update/renew its existing registration, immediately. Otherwise, the CCR
check with D&B and IRS records may delay completing the registration
process and adversely affect the ability to submit a grant application.
The CCR registration process consists of completing a Trading Partner
Profile (TPP), which contains general, corporate, and financial
information about your organization. When completing the TPP, you will
be required to identify an E-Biz POC, responsible for maintaining the
information in the TPP and granting authorization to individuals to
serve as AORs. An AOR is the individual who will submit the application
through Grants.gov for the applicant organization. Applicants can check
the CCR registration and E-Biz POC by going to http://www.ccr.gov and
search by clicking on ``Search CCR.''
(a) CCR Use of D&B Information. In July 2006, CCR implemented a
policy change. Under this policy change, instead of obtaining name and
address information directly from the registrant, CCR obtains the
following data fields from D&B: Legal Business Name, Doing Business as
Name (DBA), Physical Address, and Postal Code (Zip+4). Registrants will
not be able to enter or modify these fields in CCR because they will be
pre-populated using previously registered DUNS records data. During a
new registration, or when updating a record, the registrant has a
choice to accept or reject the information provided from the D&B
records. If the registrant agrees with the D&B supplied information,
the D&B data will be accepted into the CCR registrant record. If the
registrant disagrees with the D&B supplied data, the registrant must go
to the D&B Web site at http://fedgov.dnb.com/webform to modify the
information contained in D&B's records before proceeding with its CCR
registration. Once D&B confirms the updated information, the registrant
must revisit the CCR Web site and ``accept'' D&B's changes. Only at
this point will the D&B data be accepted into the CCR record. This
process can take up to 2 business days for D&B to send modified data to
CCR, and that timeframe may be longer if data is sent from abroad.
(b) CCR EIN/TIN Validation. To complete the CCR registration and
qualify as a vendor eligible to bid for federal government contracts or
apply for federal grants, the EIN/TIN and Employer/Taxpayer Name
combination you provide in the IRS Consent Form must match exactly to
the EIN/TIN and Employer/Taxpayer Name used in federal tax matters. It
will take one to two business days to validate new and updated records
prior to becoming active in CCR. Please be sure that the data items
provided to D&B match information provided to the IRS. If the
registration in D&B and the CCR do not match the IRS information, an
error message will result. Until the discrepancies have been resolved,
the registration will not be completed. HUD recommends that applicant
[[Page 79558]]
organizations carefully review their D&B and CCR registration
information for accuracy immediately upon publication of this notice.
If you have questions about your EIN/TIN, call 800-829-4933.
(c) Detailed Steps for NEW applicant organizations to register with
CCR. The following is a step-by-step guide to help an applicant
organization register with CCR. Additional assistance is available
online at http://www.ccr.gov. Before beginning the CCR registration
process, organizations should designate an individual who will be
responsible for completing the CCR registration and managing the
information entered into CCR. The listing below identifies the steps in
the CCR registration process.
(i) Go to http://www.ccr.gov/. Once on the site, on the left side
of the screen, click ``Start a New Registration.'' At the ``Start a New
Registration'' screen, of the three choices, please select ``I am not a
U.S. Federal Government entity.'' Click ``Continue.''
Note: CCR registration is NOT required for individuals; however,
HUD does not directly fund individuals through its NOFA process.
(ii) The next screen provides review items that must be completed
before continuing in CCR. After reviewing the information and all items
have been completed, click ``Continue with Registration.''
(iii) To begin registration with CCR, enter the organization
entity's DUNS number and click ``Next.''
(iv) At the next screen, ``New Registration,'' enter the
organization's DUNS number. Then click ``Next.'' The next ``New
Registration'' screen displays the DUNS number. The registrant will be
prompted to enter the organization information, e.g., name, address,
etc. If the information inputted does not match that contained in the
D&B record for the DUNS number provided, the system will state: ``Try
again by correcting your input below'' or ``Contact D&B to make a
change to your D&B DUNS record.''
(v) The next page of ``New Registration'' is ``Verify Your Results
with D&B.'' Here the registrant will be asked, ``Is this information
correct?'' After ensuring the accuracy of the information, click on
``Accept/Continue or Cancel.''
(vi) If you ``Accept/Continue,'' the confirmation number will be
displayed. This is a temporary number that allows the registrant to
save the registration as a work in progress. Print this page. A
temporary number along with the organization DUNS number will let the
registrant access CCR to complete the registration at a later date.
(vii) Continuing registration from the Confirmation page, click
``Continue.''
(viii) ``How to Complete your Registration'' is the next page. Once
the information has been reviewed and found correct, click
``Continue.''
(ix) The ``General Information'' page is the next screen. On this
page the registrant will need to complete all the required information.
(x) Creating a Marketing Partner ID Number (MPIN). The final step
in creating the organization's TPP requires the registrant to create an
MPIN. The MPIN is a self-defined nine character password that the E-Biz
POC will need to access Grants.gov to authorize an AOR to be able to
submit a grant application.
(xi) Registration Notification. If the registration was submitted
successfully, the registrant will receive two letters through the U.S.
Mail or via email. The first welcomes the registrant to CCR and
includes a copy of the registration. The second contains the
confidential TPIN. Receipt of the TPIN confirms successful registration
in CCR and serves as the registrant's confidential password to change
CCR information.
(d) Detailed Steps for Updating/Renewing Current Registrations.
(i) The E-Biz POC for the organization that is identified in box 8a
of the SF-424 should go to http://www.ccr.gov/. Once on the Web site,
on the left side of the screen, click ``Update or Renew Registration.''
At the ``Update Renew or Registration'' screen, of the three choices,
please select ``I am not a U.S. Federal Government entity.'' Click
``Continue.''
Note: CCR registration is NOT required for individuals. HUD does
not directly fund individuals through its NOFA process.
(ii) The next screen asks the E-Biz POC to enter the organization's
DUNS number and TPIN number sent to the E-Biz POC at the time of the
last update. Click ``Log In'' to continue.
Note: If the E-Biz POC can't remember the TPIN, the site
provides a link to request the TPIN.
(iii) The next screen, ``General Information,'' displays the
organization information. This site allows the E-Biz POC to update
information contained in CCR. Once information has been reviewed and,
as needed, updated, click on ``Validate/Save Data.''
Note: The E-Biz POC will validate and save data contained within
CCR for Corporate Information, Goods/Services, Financial, Points of
Contact, and IRS content. Once the information has been validated
and saved in each required section, the last screen will indicate
``Registration Complete.''
(e) Current Registrants without an MPIN. If you currently have an
active registration in CCR and you do not have an MPIN, you will need
to do the following:
(i) Access the CCR Web site at http://www.ccr.gov. At the left
margin, click on ``Update or Renew Registration.''
(ii) Select ``I am not a U.S. Federal Government entity.'' Click
``Continue.''
(iii) Enter the organization's DUNS number and TPIN.
(iv) On the next page, click on the link ``Points of Contact.''
Complete all fields for the E-Biz POC and the alternate E-Biz POC.
Scroll down to the bottom of the Points of Contact page, and create
your own MPIN. Once completed, click on the ``Validate/Save'' button.
Note to Active Registrants in CCR: A TPIN is a password that is
used to access your CCR data. Organizations that become active in
CCR are issued a TPIN (password) to access and maintain their data.
Because of the sensitivity of this data, CCR recommends that you do
not disclose your TPIN to anyone under any circumstances.
(3) Step Three: Register with the Credential Provider.
(a) Registering with Credential Provider. To safeguard the security
of electronic information, Grants.gov utilizes a Credential Provider to
determine with a degree of assurance that someone is really who he or
she claims to be. Once the organization requesting funding has
identified who will be submitting the Application for Federal
Assistance on their behalf, the person to submit the application must
register with a Credential Provider to create his/her user name and
password. The user name and password created through the credential
provider will be registered with Grants.gov as part of the next step in
the registration process. To register with a credential provider, the
designated person must have the organization's DUNS number that will be
entered in box 8a of the form SF-424, Application for Federal
Assistance. The organization's DUNS number used must be identical to
the DUNS number for the organization found in the CCR registration.
Since August 30, 2007, organizations can choose from three
federally approved credential providers available from which to choose
their authentication services: The Agriculture Department; the Office
of Personnel Management's Employee Express; and Operational Research
Consultants (ORC), Inc., which also provided authentication services
prior to August 30, 2007. Until January 11, 2009, or shortly
thereafter, users who already hold a Grants.gov user name and password
through ORC will not experience much change. New users
[[Page 79559]]
will be able to choose from any of the three credential providers
available.
To register with a credential provider, go to http://apply07.grants.gov/apply/ORCRegister. Once you have accessed the site,
scroll down the page and enter the DUNS number, and click on
``Register.''
At the next screen, scroll down and select ``Get Your
Credentials.''
On the ``eAuthentication User Information'' screen,
complete and submit all information.
On the next screen, confirm your information and create
your own user name and password. Then click ``Submit.'' If all the
information has been entered correctly, you will receive a notice of
Registration Success.
(b) Provision of Credentials by Grants.gov. In January 2009,
Grants.gov will be terminating service with the current Grants.gov
credential provider, Operational Research Consultants (ORC). As a
result of the change, Grants.gov will provide credentials (user name
and passwords) to Grants.gov registrants.
(i) New Grants.gov Registrants. After January 2009, or when
Grants.gov begins providing credential services, when clicking on the
``For Applicants'' link, new Grants.gov registrants will get a pop-up
screen asking them to update their user profile. The information
requested is similar to the information that was previously provided to
ORC or one of the other credential providers. In addition to updating
their user profile, registrants will be asked to enter a Secret
Question and Secret Answer. The Secret Question and Secret Answer
portion of the information provides for increased security for future
inquiries about the registrants' account and allows registrants to
reset their own password. Once created, users will be able to reset
their password on their own. Previously, users needed to call the
Grants.gov Help Desk to get a password or user name reset or go back to
the credential provider to get a password they forgot.
(ii) Existing/Legacy Registrants. Grants.gov will retain the user
name and password for existing/legacy registrants. However, existing/
legacy registrants will have to update their profile by clicking on the
``For Applicants'' link, update their profile, and establish a Secret
Question and Secret Answer. The automated user name and password reset
feature will not work if the registrant has not updated his or her
profile and created the Secret Question and Secret Answer.
(iii) Forgot My User Name and Forgot My Password Links. New and
legacy applicants that updated their profile and created a Secret
Question and Secret Answer will be able to use the ``Forgot My User
Name'' and ``Forgot My Password'' links on the Applicant Login screen
to have their user name and password sent to them via email. To do so,
they will have to know their DUNS number and email address to retrieve
and reset their user name and password.
Note: Registration to use Grants.gov to submit a funding
application on behalf of an organization is not complete until Steps
Four and Five below are completed.
(c) Steps for Checking your Credentials.
(i) Prior to January 11, 2009, or when Grants.gov begins to offer
credential provider services, if you want to check your credentials
prior to submitting an application, you may go to http://e-auth.orc.com/. Once you are on the E-Authentication site, scroll down
the page and click on the link ``Check your Credentials.'' Then enter
your user name and password. If you enter the correct information, you
will receive a message that states, ``You have successfully verified
your registration.'' If you have forgotten your password, click on the
link ``User Administration'' and select ``Forgotten Password'' located
in the left margin. On the next screen, enter your user name and click
``Submit.'' The next screen displays your secret question. Follow
instructions on this screen and click ``Submit.'' Your password has
been reset.
(ii) After January 11, 2009, or when Grants.gov offers credential
provider services, AORs who have updated their profile and created the
Secret Question and Secret Answer as a Grants.gov registrant can log
into Grants.gov and obtain or reset their registered user names and
password, or reset their user name or password through the Grants.gov
automated service. If an applicant organization has multiple users,
each registered Grants.gov user will have to update his or her
Grants.gov user profile and create a Secret Question and Secret Answer.
Questions about the changes to the Grants.gov registration process
should be directed to the Grants.gov Help Desk at 800-518-GRANTS.
(4) Step Four: Register with Grants.gov.
(a) Prior to January 11, 2009, or prior to when Grants.gov offers
credential provider services, after completing Step 3, creating a user
name and password with the credential provider, the person(s) named by
the applicant organization to submit an application for funding on
behalf of the organization, and which is registered with a Credential
Provider, must open an account with Grants.gov. Opening the account
with Grants.gov identifies the person who, as an AOR for the
organization seeking funding, is requesting permission to submit the
application. The final step in the registration process is when the E-
Biz POC for the applicant organization identified in Box 8a of the SF-
424, Application for Federal Assistance actually grants authorization
to the person identified as an AOR. (See Step Five below). To register
with Grants.gov, go to https://apply07.grants.gov/apply/GrantsgovRegister.
After the proposed AOR registers his or her user name and password
with Grants.gov, the organization's E-Biz POC will be sent an email
indicating that someone has requested authority to submit an
application for the organization and has registered as an AOR.
(b) After January 11, 2009, or when Grants.gov offers credential
provider services, the person(s) named by the applicant organization to
submit an application for funding on behalf of the organization must
open an account with Grants.gov, or update their existing account.
Opening the account with Grants.gov identifies the person as a proposed
AOR seeking funding for the organization named in box 8a of the form
SF-424, Application for Federal Assistance, and who is requesting
permission to submit the application. To open an account, the proposed
AOR must complete the profile information and create a Secret Question
and Secret Answer at Grants.gov. An existing or legacy AOR can log into
Grants.gov using his or her user name and password, update his or her
profile, and create a Secret Question and Secret Answer. To register
with Grants.gov, go to https://apply07.grants.gov/apply/GrantsgovRegister.
After the proposed AOR registers his or her user name and password
with Grants.gov, the organization's E-Biz POC will be sent an e-mail
indicating that someone has requested authority to submit an
application for the organization and has registered as an AOR.
The final step in the registration process is when the E-Biz POC
for the applicant organization identified in Box 8a of the SF-424,
Application for Federal Assistance, actually grants authorization to
the person identified as an AOR. (See Step Five below).
(5) Step Five: Granting Approval of an AOR to Submit an Application
on Behalf of the Organization. The E-Biz POC must log into the
Grants.gov Web site and give the registered AOR
[[Page 79560]]
approval to submit an application to Grants.gov. By authorizing the AOR
to submit on behalf of the applicant organization, the E-Biz POC is
stating that the person has the legal authority to submit the
electronic application on behalf of the applicant organization and can
make a legally binding commitment for the applicant organization.
(a) The E-Biz POC must approve the designated AOR(s). If the E-Biz
POC does not grant authorization, Grants.gov will not accept the
application. The E-Biz POC can designate the AOR to submit applications
on behalf of the organization at https://apply07.grants.gov/apply/AorMgrGetID. The registration is complete when an AOR has been approved
to submit an application on behalf of the applicant organization by the
E-Biz POC.
HUD urges applicants to check with their E-Biz POC to make sure
that they have been authorized to make a legally binding commitment for
the applicant organization when submitting the application to
Grants.gov. This is particularly important if, during the CCR
registration renewal process, the E-Biz POC for the applicant
organization has been changed. The new E-Biz POC will have to grant
authorization to all AORs. You can search the CCR registration for the
E-Biz POC by going to https://www.bpn.gov/CCRSearch/Search.aspx.
(b) AORs can track their AOR status at any time on Grants.gov by
going to the Applicant home page at Grants.gov. In ``Quick Links,'' log
in as an applicant and enter your user name and password. If you have
not been granted AOR status by the E-Biz POC, you should contact the E-
Biz POC directly.
5. Instructions on How to Download an Application Package and
Application Instructions.
Please note:
The following instructions are not applicable to Continuum of Care
applicants because Continuum of Care applications are not submitted to
Grants.gov. A complete explanation on how to find and apply for
Continuum of Care grants in 2009 will be provided in the Continuum of
Care Program NOFA. HUD does provide notification of the availability of
the registration instructions, applications, or other information
through the Grants.gov Web site. Grants.gov no longer offers its
notification service. Grants.gov now offers RSS Feed Services.
Applicants are advised to sign up for one of the RSS Feed Services,
which will allow an applicant to be notified of new funding
opportunities or modifications to an existing funding opportunity.
Information on RSS Feed options can be found at http://www07.grants.gov/help/rss.jsp. Applicants familiar with this technology
may select any feed service listed on the Grants.gov site. However, to
assist applicants with making a selection, HUD is offering these
suggestions for one of the most popular services:
eMail with Microsoft Outlook Directions
Open your Web browser and go to http://www.grants.gov.
In the upper right corner of the screen, select RSS.
In the middle of the page, click on the hyperlink in ``Get
an RSS Reader.''
From the list of categories, select Windows.
Select blogbot for Outlook.
Select Download. A File Download dialog box will appear.
Select Run. (If you see a Security Warning dialog box,
select Run.)
Run Setup Wizard accepting the default settings.
When the Setup Wizard is finished, open Outlook.
Look to see if a blogbot icon is visible in the tool bar
area of Outlook. If not:
Select View in the menu. Then select Toolbars. Click on
blogbot. The blogbot icon should now be visible in your toolbars.
To subscribe to Grants.gov, direct your browser back to
the Grants.gov RSS page.
Right-click on the orange icon next to New/Modified
Opportunities by Agency or New/Modified Opportunities by Category.
Select Add to blogbot for Outlook. For each subscription
blogbot, add a subfolder in Inbox\blogbot.
If the add blogbot for Outlook option does not appear,
Select the feed to which you want to subscribe and copy the URL from
the address box.
From the blogbot toolbar icon, select Subscriptions.
Paste the URL from Grants.gov into the RSS/Atom URL
textbox.
Create a name in the Name textbox.
Windows Environment Directions
Direct your web browser to http://www.jetbrains.com.
Select Downloads at the top of the page.
Select Omea Reader.
A File Download dialog box will appear.
Select Run. (If you see a Security Warning dialog box,
select Run.)
Accept the default settings in the Setup Wizard. Note:
Omea installation may ask to reboot your computer. Accept the choice.
When the reboot is complete, Omea Startup Wizard should open. If the
Startup Wizard does not start automatically, double-click on the Omea
icon on your desktop to start it.
Accept all defaults in the Wizard.
When the Wizard is finished, OMEA Reader will start.
To view messages in groups, from the View menu, select
Show Items in Groups.
After you have turned this option on, all items in the
Items List will be displayed in groups and sorted according to which
resource column is selected.
You can group your items by any column of the Items List.
MAC Users Directions
Direct Safari to http://www.grants.gov.
In the upper right corner of the screen, select RSS.
To view announcements in Safari, simply select one of the
feed options, e.g., New/Modified Opportunities by Agency or New/
Modified Opportunities by Category. The list of opportunities appears
in Safari.
In the column on the right side of the page, select
Subscribe in Mail.
Open Mail.
You should now have a folder under RSS named Grants
Modified Opportunities List.
Filter the list by typing the Agency acronym or other term
into the search box in the upper right corner.
Applicants that have not signed up for the RSS Feed notification
service can search for a funding opportunity on Grants.gov by going to
http://www07.grants.gov/applicants/find_grant_opportunities.jsp. On
this page, you can do a basic search, browse by category, or browse by
agency. If you are interested in HUD Grants, click on browse by agency
and then scroll down the page until you see U.S. Department of Housing
and Urban Development on the right column. When you click on the HUD
agency name, you will come to a page with all the funding opportunities
that are posted by HUD at that point in time. When you click on an
opportunity, you will come to a page that provides a synopsis of the
opportunity and which also identifies the Catalog of Federal Domestic
Assistance (CFDA) Number for the Program, the Funding Opportunity
Number and further down the page, a link to the full announcement. To
download the application and instructions, follow the directions below,
but first you must be sure you have Adobe Reader 8.1.3 installed. HUD's
FY2009 applications use Adobe Reader.
a. The Application Package and Application Instructions. The
general process for downloading, completing,
[[Page 79561]]
submitting, and tracking grant application packages is described at
http://www07.grants.gov/applicants/apply_for_grants.jsp. To download
the application and instructions, go to https://apply.grants.gov/forms_apps_idx.html and enter the CFDA Number, Funding Opportunity
Number, or Funding Opportunity Competition ID for the application that
you are interested in. If you enter more than one criterion, you will
not find the instructions. You will then come to a page where you will
find the funding opportunity Download Application & Instructions link.
Before you can view and complete an application package, you must have
a compatible Adobe Reader installed. Grants.gov is currently using
Adobe Reader versions 8.1.2, 8.1.3, and 9.0. While the Grants.gov
system supports all three versions of Adobe Reader, HUD applicants are
advised they must download Adobe Reader 8.1.3 available from the
Grants.gov Web site. HUD has been advised by Grants.gov that Adobe
Reader 8.1.3 addresses the broken pipe error message and operates
better than older versions of the reader, and the newer software
results in faster uploads. Older versions, including Adobe Reader 9.0,
do not solve the broken pipe issue. When Adobe Reader 9.1 is issued, it
will address the broken pipe issue. To obtain Adobe 8.1.3 and check for
compatibility with your system, go to http://www.adobe.com/products/acrobat/readstep2_allversions.html. At that site you can identify the
software you have installed on your computer and follow the
instructions for downloading the software compatible with your computer
and associated to the instructions in this General Section for using
Adobe Reader Version 8.1.3.
b. To check which version of Adobe Acrobat you are using, go to the
Help menu in Adobe Acrobat and then select ``About Acrobat.'' A text
box will appear containing an Adobe logo with a number. Under that
information, you will see another number; this is the version number of
your software (e.g., 8.1.1, 8.1.2, or 8.1.3). If you do not have the
correct version of Adobe Reader, go to http://www.adobe.com/products/acrobat/readstep2_allversions.html. System requirements for Adobe
Reader 8.1.3 are listed as follows:
6. Adobe Reader 8.1.3 System Requirements.
Windows
Intel Pentium[supreg] III or equivalent processor
Microsoft Windows 2000 with Service Pack 4; Windows Server
2003; Windows XP Professional, Home Edition, or Tablet PC Edition with
Service Pack 2 or 3; Windows Vista with or without Service Pack 1.
128MB of RAM (256MB recommended for complex forms or large
documents).
170MB of available hard-disk space.
Microsoft Internet Explorer 6.0 or 7.0, Firefox 1.5 or
2.0, Mozilla 1.7, AOL 9.
Macintosh
PowerPC G3, G4, G5, or Intel processor.
Mac OS X v10.4.11-10.5.5.
128MB of RAM (256MB recommended for complex forms or large
documents).
170MB of available hard-disk space.
Safari 2.0.2.
Linux
32-bit Intel Pentium processor or equivalent.
LSB (Linux Standard Base) 3.1 compliant systems including
Red Hat[supreg] Linux WS 5, SUSE[supreg] Linux Enterprise Desktop
(SLED) 10, and Ubuntu 6.10.
GNOME or KDE Desktop Environment.
512MB of RAM (1GB recommended).
125MB of available hard-disk space (additional 75MB
required for all supported font packs).
GTK+ (GIMP Toolkit) user interface library, version 2.6 or
later.
Firefox 1.5 or later, Mozilla 1.7.3 or later.
Solaris
UltraSPARC[supreg] or UltraSPARC IIIi[supreg] processor.
Solaris 9 or 10.
GNOME or KDE Desktop Environment (GNOME only for Solaris
10).
512MB of RAM (1GB recommended).
175MB of available hard-disk space (additional 75MB
required for all supported font packs).
GNU C library (glibc) version 2.3 or later.
GTK+ (GIMP Toolkit) user interface library, version 2.6 or
later (on Solaris 10; also works with GTK 2.4.9).
Firefox 1.5 or later, Mozilla 1.7.3 or later.
OpenGL library.
OpenSSL 0.9.7, OpenLDAP, and CUPS libraries.
libstdc++ library.
a. You can use Adobe Reader 8.1.3 with Adobe Professional 6.0 or
newer, provided you have updated the default setting on the copy of
Adobe Professional on your computer so the Adobe Reader default setting
matches Adobe Reader 8.1.3, which you have just downloaded from the
Grants.gov Web site and installed on your computer.
b. Grants.gov has posted instructions in Frequently Asked Questions
at http://grants.gov/applicants/applicant_faqs.jsp. Applicants should
review these FAQs as it will assist them in making sure that they are
properly set up to successfully submit an application. Applicants need
to make sure that the default setting on their Adobe Reader is set to
the new 8.1.3 version of Adobe Reader software downloaded from
Grants.gov. Adobe Reader 8.1.3 is compatible with Adobe Professional
6.0 or higher. Applicants that need assistance can contact the
Grants.gov Contact Center by phone at 1-800-518-GRANTS or via e-mail at
[email protected].
Critical Notice: Applicants must be aware that all persons working
on Adobe Forms in the application package must work using the same
Adobe Reader version available from Grants.gov. Please alert your staff
and those working on your application that failure to download and use
the correct Adobe Reader 8.1.3 or to update the Reader on Adobe
Professional to 8.1.3 and meet the Grants.gov compatibility
requirements contained in this General Section will result in your not
being able to create or submit the application package to Grants.gov or
your application being rejected by Grants.gov. Using incompatible
versions of Adobe Reader will result in files being corrupted.
Next, download the application instructions by clicking on the
Download Instructions link. The Instructions contain the General and
Program Sections for the funding opportunity, as well as forms that are
not part of the application download but are included as elements of a
complete package, as specified in the published NOFA. After you have
installed Adobe Reader 8.1.3, you can now download the application by
clicking on the Download Application link. Both the instructions and
application should be saved on your computer. You do not need to be
registered to download the instructions or complete the application;
however, once you have downloaded the application and intend to submit
an application, you must save it on your computer or local network
drive.
Each program NOFA also includes a checklist. Please review the
checklist in the Program Section to ensure that your application
contains all the required materials.
c. Electronic Grant Application Forms.
(1) Forms contained in the Instructions download are available in
Microsoft Office Word 2003 (.doc),
[[Page 79562]]
Microsoft Office Excel 2003 (.xls), or Adobe (.pdf) formats. The .pdf
files are only fillable forms and cannot be saved locally, unless you
have Adobe Professional software version 6.0 or higher.
(2) To open the Application download, you must first install Adobe
Reader 8.1.3. During the download process, the application
automatically opens. If you have a version of Adobe Acrobat or Adobe
Acrobat reader version 8.0 or older, the application will not open, and
you will get an error message telling you to first install the correct
version of the software. If you get an error message, follow the
instructions in paragraph IV.B.5., Instructions on How to Download an
Application Package and Application Instructions. The Application
download will contain a cover page entitled ``Grant Application
Package.'' The cover page provides information regarding the
application package you have chosen to download, i.e., Opportunity
Title, Agency Name, CFDA Number, etc. Review this information to ensure
that you have selected the correct application. The Grant Application
cover page separates the required forms into two categories:
``Mandatory Documents'' and ``Optional Documents.'' To complete a form
from either the ``Mandatory Documents'' or Optional Documents,'' you
must first highlight and move the form over to the ``Submission'' box
and then open the form.
(3) Please note that regardless of the box in which the forms are
listed, the published General Section and Program Section NOFA (and any
technical corrections) in the Federal Register documents are the
official documents HUD uses to solicit applications. Therefore,
applicants should follow the instructions provided in the General
Section and Program Sections of the Instructions download. The
individual NOFA sections will also identify the forms that may be
applicable and that need to be submitted with the application.
(4) Because you will be adding additional attachment files to the
downloaded application, applicants should save the application to their
local computer or network drive. Do not download the application or
attempt to upload the application using a USB flash drive (also called
a ``key drive,'' ``thumb,'' or ``jump drive''), because Grants.gov has
found that applicants have problems uploading applications and
attachments from a USB flash drive. Be sure to read and follow the
application submission requirements published in each individual NOFA
for which you are submitting an application. Each program NOFA will
identify all the required forms and other required information for
submission.
(5) HUD's standard forms are identified below:
(a) Application for Federal Assistance (SF-424);
(b) Faith-Based EEO Survey (SF-424 Supplement, Survey on Ensuring
Equal Opportunities for Applicants), if applicable;
(c) HUD Detailed Budget (HUD-424-CB, Grant Application Detailed
Budget);
(d) Grant Application Detailed Budget Worksheet (HUD-424-CBW);
(e) Disclosure of Lobbying Activities (SF-LLL), if applicable;
(f) HUD Applicant Recipient Disclosure Report (HUD-2880, Applicant/
Recipient Disclosure/Update Report);
(g) Certification of Consistency with RC/EZ/EC-II Strategic Plan
(HUD-2990), if applicable;
(h) Certification of Consistency with the Consolidated Plan (HUD-
2991), if applicable;
(i) Acknowledgment of Application Receipt (HUD-2993);
(j) You Are Our Client Grant Applicant Survey! (HUD 2994-A)
(Optional);
(k) Program Outcome Logic Model (HUD-96010);
(l) HUD Race Ethnic Form (HUD-27061), if applicable; and
(m) HUD Facsimile Transmittal (HUD-96011, Third Party Documentation
Facsimile Transmittal).
All HUD ``program-specific'' forms not available at the Application
download will be available in the Instructions download in Microsoft
Word Office 2003 (.doc), Microsoft Excel Office 2003 (.xls), or Adobe
(.pdf) format, compatible with Adobe Reader 8.1.3. The PDF forms are
fillable but not savable, unless you have Adobe Professional 6.0 or
higher. Applicants may use the HUD-96011, ``Third Party Documentation
Facsimile Transmittal'' (``HUD Facsimile Transmittal'' on Grants.gov)
form and fax to HUD any forms they have completed but cannot save.
7. Instructions on How to Complete the Selected Grant Application
Package.
a. Ensure You Have the Correct Application Downloaded. Applicants
must check the application to ensure that the application they have
downloaded matches the CFDA Number, Funding Opportunity Number, and
Competition ID for the funding opportunity under which the applicant is
requesting funds. In FY2009, if HUD receives an application submitted
under the wrong application package, HUD will rate the application
under the funding competition ID on the SF-424 for the submitted
application. Please pay careful attention to which application you
submit. The CFDA number, Funding Opportunity Number, and Competition ID
are located on the front page of the downloaded application. If you
download the wrong application, and it is prior to the deadline date,
simply go back to Grants.gov and obtain the correct application and
resubmit.
b. Mandatory Fields on Application Download Forms. Forms in the
Application download contain fields with a yellow background. These
data fields are mandatory and must be completed. Failure to complete
the fields will result in an error message when checking the package
for errors.
c. Completion of SF-424 Fields First. The forms in the application
package are designed to automatically populate common data such as the
applicant name and address, DUNS number, etc. In order to trigger this
function, the SF-424 must be completed first. Once applicants complete
the SF-424, the entered information will transfer to the other forms.
d. Submission of Narrative Statements, Third-Party Letters,
Certifications, and Program-Specific Forms. In addition to program-
specific forms, many of the NOFAs require the submission of other
documentation, such as third-party letters, certifications, or program
narrative statements. This section discusses how you should submit this
additional information electronically as part of your application:
(1) Narrative Statements to the Factors for Award. If you are
required to submit narrative statements, you must submit them as an
electronic file in Microsoft Word Office 2007 (or earlier) (.doc),
Microsoft Excel 2007 (or earlier) (.xls), or in Adobe (.pdf) format
that is compatible with Adobe Reader 8.1.3. If HUD receives a file in a
format or software other than those specified or that is not compatible
with HUD software, HUD will not be able to read the file, and it will
not be reviewed. Each response to a Factor for Award should be clearly
identified and can be incorporated into a single attachment or all
attachments can be zipped together into a single attached ZIP file.
However, HUD advises applicants that files zipped within zipped files
cause problems and can result in the application attachments not able
to be opened or read. Applicants should develop files, then zip the
files together, and then place them as an attachment to the
application. If you have any
[[Page 79563]]
questions, you can contact the NOFA Information Center or the HUD
program contact listed in the program NOFA. Documents that applicants
possess in electronic format, e.g., narratives they have written, must
be submitted as Microsoft documents; graphic images (such as computer
aided design (CAD) files from an architect) must be saved in PDF
format. The documents must be compatible with Adobe Reader 8.1.3 and
attached using the ``Attachments'' form included in the application
package downloaded from Grants.gov. In addition, some NOFAs may request
photographs. If this is the case, then the photographs should be saved
in .jpg or .jpeg format and attached using the ``Attachments'' form.
When creating attachments to your application, please follow these
rules:
(a) Do not attach a copy of the electronic application with your
attachments as an attachment file. HUD cannot open such files when the
application is attached as an attachment file.
(b) Check the attachment file and make sure it has a file extension
of .doc, .pdf, .xls, .jpg, or .jpeg or, if you save files in Microsoft
Office 2007, the file extensions should be as follows:
Word 2007 File Type Extension
docx--Word 2007 XML Document
Excel 2007 File Type Extension
xlsx--Excel 2007 XML Workbook
PowerPoint 2007 File Extension Type
pptx--PowerPoint 2007
(c) Make sure that file extensions are not in upper case. File
extensions must be lower case for the file to be opened. The software
will automatically insert the correct file extension when saved.
(d) Do not adjust file extensions to try to make them conform to
HUD standards. If you have problems, please contact the HUD contact
listed in the NOFA.
(e) Do not use special characters (i.e., , %, /, etc.) in
a file name.
(f) Do not include spaces in the file name.
(g) Limit file names to not more than 50 characters. HUD recommends
that file names be no more than 32 characters.
(h) Do not convert Word files or Excel files into PDF format.
Converting to PDF format increases file size and will make it more
difficult to upload the application and does not allow HUD to enter
data from the Excel files into a database.
(i) Do not submit applications larger than 150 megabytes. These
file sizes are difficult to upload and HUD cannot guarantee that they
can be processed, as its system has not been tested with files larger
than 150 megabytes.
Failure to follow the directions for items (e), (f), and (g) will
result in your application being rejected with a ``VirusDetect'' error
message.
(2) ZIP Files. In order to reduce the size of attachments,
applicants can compress several files using a ZIP utility. Applicants
can then attach the zipped file as described above. HUD's standard zip
utility is WinZip. Files compressed with the WinZip utility must use
either the ``Normal'' option or ``Maximum (portable)'' option available
to ensure that HUD is able to open the file. Files received using
compression methods other than ``Normal'' or ``Maximum (portable)''
cannot be opened and will not be reviewed. Applicants should be aware
that if HUD receives files compressed using another utility, or not in
accord with these directions, it cannot open the files and, therefore,
such files will not be reviewed.
(3) Third-Party Letters, Certifications Requiring Signatures, and
Other Documentation. Applicants required to submit third-party
documentation (e.g., establishing matching or leveraged funds,
documentation of 501(c)(3) status or incorporation papers, documents
that support the need for the program, Memorandums of Understanding
(MOUs), or program-required documentation that supports your
organization's claims regarding work that has been done to remove
regulatory barriers to affordable housing) can choose from the
following two options as a way to provide HUD with the documentation:
(a) Scanning Documents to Create Electronic Files. Scanning
documents increases the size of files. If your computer has the memory
and capacity to upload scanned documents, submit your documents with
the application by using the Attachments form in the Mandatory or
Optional Forms section of the application. If your computer does not
have the memory to upload scanned documents, you should submit them via
fax, as described below. Electronic files must be labeled so that the
recipient at HUD will know what the file contains. Program NOFAs will
indicate any naming conventions that applicants must use when
submitting files using the Attachments form. Please note that if you do
not follow the file name limit of not more than 50 characters, and the
prohibition of using spaces and special characters in the file name,
the Grants.gov system will treat these files as though they had a virus
and the application will be rejected with a ``VirusDetect'' error
message. If an applicant received a ``VirusDetect'' error message and
the package has been checked for viruses, applicants should check their
attachment file names for length, delete any spaces, and delete any
special characters. HUD also recommends that file names be no more than
32 characters. Once the deficiencies have been addressed, applicants
should save the application file, and the newly renamed attachments,
and close the application down. Remove any cookies, reboot your
computer, and then submit the application. Grants.gov advises
submitting the application from Internet Explorer.
(b) Faxing Required Documentation. Applicants may fax the required
documentation as program-specific forms to HUD. Applicants should use
this method only when documents cannot be attached to the electronic
application package as a .pdf, .doc, .xls, .jpeg, or .jpg, or when the
size of the submission is too large to upload from the applicant's
computer. If an applicant is trying to submit the application including
scanned documents, and the application does not upload quickly to
Grants.gov, HUD advises the applicant to either reconvert the scanned
documents back to Microsoft Word or Excel files or send the attachments
in using the fax methodology, because size of the scanned attachment
files may be exceeding the capacity of your computer or your internet
server to process the files and obtain a successful upload to
Grants.gov.
HUD will not accept entire applications by fax and will disqualify
applications submitted entirely in that manner.
(i) Fax form HUD-96011, ``Third Party Documentation Facsimile
Transmittal'' (HUD Facsimile Transmittal on Grants.gov). Facsimiles
submitted in response to a NOFA must use the form HUD-96011. The
facsimile transmittal form, found in the downloaded application,
contains a unique identifier that allows HUD to match an applicant's
submitted application via Grants.gov with faxes coming from a variety
of sources. Each time the application package is downloaded, the forms
in the package are given a unique ID number. To ensure that all the
forms in your package contain the same unique ID number, after
downloading your application, complete the SF-424, save the forms to
your hard drive, and use the saved forms to create your application.
When you have downloaded your application package from Grants.gov, be
sure to first complete the SF-424, and then provide
[[Page 79564]]
copies of the form HUD-96011 to third parties that will submit
information in support of your application. Do not download the same
application package from Grants.gov more than once, because if your
application submission does not match the unique identifier on the
facsimile transmittal form, HUD will not be able to match the faxes
received to your application submission. Faxes that cannot be matched
to an application will not be considered in the review process.
If you have to provide a copy of the form HUD-96011 to another
party that will be responsible for faxing an item as part of your
application, make a copy of the facsimile transmittal cover page from
your downloaded application and provide that copy to the third party
for use with the fax transmission. Please instruct third parties to use
the form HUD-96011 that you have provided as a cover page when they
submit information supporting your application using the facsimile
method, because it contains the embedded ID number that is unique to
your application submission.
(ii) Use Form HUD-96011 as the Fax Cover Page. For HUD to correctly
match a fax to a particular application, the applicant must use, and
require third parties that fax documentation on its behalf to use, the
form HUD-96011 as the cover page of the facsimile. Using the form HUD-
96011 will ensure that HUD can electronically read faxes submitted by
and on behalf of an applicant and can match them to the applicant's
application package received via Grants.gov.
Failure to use the form HUD-96011 as the cover page will create a
problem in electronically matching your faxes to the application. If
HUD is unable to match the faxes electronically due to an applicant's
failure to follow these directions, HUD will not hand-match faxes to
applications and will not consider the faxed information in rating the
application. If your facsimile machine automatically creates a cover
page, turn this feature off before faxing information to HUD.
(iii) HUD Fax Number. Applicants and third parties submitting
information on their behalf must use the form HUD-96011 facsimile
transmittal cover page and must send the information to the following
toll-free fax number: 800-HUD-1010. If you cannot access the toll-free
800 number or experience problems, you may use 215-825-8798 (this is
not a toll-free number). These are new numbers for FY2009 applications
only. If you use the wrong fax number, your fax will be entered as part
of HUD's FY2008 database. HUD cannot search its FY2008 database to
match FY2009 faxes to FY2009 applications. As a result, your
application will be reviewed without faxed information if you fail to
use the FY2009 fax numbers.
(iv) Fax Individual Documents as Separate Transmissions. It is
highly recommended that applicants fax individual documents as separate
submissions to avoid fax transmission problems. When faxing two or more
documents to HUD, applicants must use the form HUD-96011 as the cover
page for each document (e.g., Letter of Matching or Leveraging Funds,
Memorandum of Understanding, Certification of Consistency with the
Consolidated Plan, etc.). Please be aware that faxing large documents
at one time may result in transmission failures.
(v) Check Accuracy of Fax Transmission. Be sure to check the record
of your transmission issued by the fax machine to ensure that your fax
submission was completed ``OK.'' For large or long documents, HUD
suggests that you divide them into smaller sections for faxing
purposes. Each time you fax a document that you have divided into
smaller sections, you should indicate on the cover sheet what part of
the overall section you are submitting (e.g., ``part 1 of 4 parts'' or
``pages 1 to 10 of 20 pages'').
Your facsimile machine should provide you with a record of whether
HUD received your transmission. If you get a negative response or a
transmission error, you should resubmit the document until you confirm
that HUD has received your transmission. HUD will not acknowledge that
it received a fax successfully. When receiving a fax electronically,
HUD will electronically read it with an optical character reader and
attach it to the application submitted through Grants.gov. Applicants
and third parties submitting information on their behalf may submit
information by facsimile at any time before the application deadline
date. Applicants must ensure that the form HUD-96011 used to fax
information is part of the application package downloaded from
Grants.gov. As stated previously, if your facsimile machine
automatically generates a cover page, you must ensure that you turn
that feature off and use the form HUD-96011 as the cover page. Also
ensure that the fax is transmitted to fit 8\1/2\ x
11 letter-size paper.
(vi) Preview Your Fax Transmission. HUD recommends that you
``preview'' how your fax will be transmitted by using the copy feature
on your facsimile machine to make a copy of the first two or three
pages. This way, you will see what HUD will receive as a fax. If the
fax is not clear or cuts off at the bottom of the page, applicants
should use a different facsimile machine or have the machine adjusted.
All faxed materials must be received no later than 11:59:59 p.m.
eastern time on the application deadline date. HUD will store the
information and match it to the electronic application when HUD
receives it from Grants.gov. If you are not faxing any documents, you
must still complete the facsimile transmittal form. In the section of
the form titled ``Name of Document Transmitting,'' enter the words
``Nothing Faxed with this Application.'' Complete the remaining
highlighted fields and enter the number ``0'' in the section of the
form titled ``How many pages (including cover) are being faxed?''
(vii) If You Resubmit an Application. Please be aware that a
resubmitted application must meet the timely receipt requirements of
this notice.
8. Steps To Take Before You Submit Your Application. Approximately
one week before submitting an application, each applicant should
configure its proxy and cache servers to ensure transmission of its
application to Grants.gov. Grants.gov uses HTTP post protocols on port
80 (your technical support will be able to assist). Prior to
submitting, applicants should review the application package and all
the attachments to make sure the application contains all the documents
the applicant wants to submit. If it does, save it to your computer and
remove previously saved versions. Check your AOR status on Grants.gov
to make sure your eBusiness POC has authorized you to submit an
application on behalf of the applicant organization. Run the Check
Package for Errors feature on the application package and correct any
problems identified. Contact any persons or entities that were to
submit third-party faxes to make sure that the faxes have been
submitted using the facsimile cover page that you provided in
accordance with instructions in this General Section. Check your e-mail
system to ensure that it allows receipt of messages from
[email protected]. Microsoft Outlook users can set their e-mail to
receive messages from [email protected] going to their e-mail Inbox,
clicking on ``Actions'' and selecting ``Junk E-mail'', and then
selecting ``Junk E-mail Options.'' A dialog box will come up. Click
``OK.'' Another dialog box will appear and select the ``Safe Senders''
folder. Then add @grants.gov to the list of acceptable e-mail domains.
Click ``OK.'' Applicants not using Microsoft Outlook should check with
their software provider or IT staff to get directions on how to allow
[[Page 79565]]
e-mail from Grants.gov to come into your Inbox. This is critical as
notices of receipt, validation, or rejection are sent by e-mail.
Grants.gov sends the e-mail notification to the e-mail address
registered during the registration process. The e-mail from Grants.gov
does not go to the contact name listed on the SF-424 Application for
Federal Assistance, but to the person designated in the registration at
Grants.gov. Also check your Trust Manager to ensure that it will allow
files to go to all sites. To enable Trust Manager, follow the steps
below:
a. Click on Edit;
b. Then click on Preferences;
c. Then click Trust Manager in the left-hand pane;
d. Click on Change Settings on the ensuing window;
e. Select allow all sites listed toward the top of the page;
f. Click on OK;
g. Click on JavaScript on the left-hand side of the screen;
h. Make sure everything is checked here except for things under the
Debugger heading (do not change);
i. Click on OK until you get out of the preferences windows;
j. When this has been done, you can try submitting your
application. Click ``Allow'' on the pop-up window.
C. Receipt Dates and Times
Please note: Applicants under the Continuum of Care program
should follow the directions for application submission and timely
receipt that are contained in the Continuum of Care program NOFA.
The instructions below apply only to applicants submitting
applications via the federal portal http://www.Grants.gov.
1. The application deadline for receipt of HUD applications via
Grants.gov is 11:59:59 p.m. on the date identified in the published
program NOFA. As a result, applications must be received by Grants.gov
by the deadline in order to meet the program NOFA deadline. Received
means that the application has been successfully uploaded to the
Grants.gov server and the applicant has received confirmation of
successful submission to Grants.gov. Applicants should be aware that
hitting the ``sign and submit'' button to transmit the application does
not mean the application has been successfully uploaded to Grants.gov.
Only when the upload is complete is the application date and time
stamped by the Grants.gov system. An application that has been rejected
by Grants.gov is not deemed to have been received by Grants.gov.
(Please see Section D.1. below for a detailed explanation of Timely
Receipt Requirements and Proof of Timely Receipt.) As in the past, HUD
encourages applicants to submit their applications early and with
sufficient time to address any issues that might affect the applicant's
ability to have an application successfully uploaded and received by
Grants.gov.
In FY 2009, HUD is establishing a one-day grace period from the
date of notification of a rejection from Grants.gov, to allow
applicants that successfully upload an application to Grants.gov prior
to the deadline date and time, but receive a rejection notice after the
deadline date and time, to cure the reason for rejection and re-upload
the application to Grants.gov. The paragraphs below describe HUD's
Grace Period Policy for FY2009.
a. Applicants that have successfully uploaded their application to
Grants.gov prior to the deadline, and subsequently receive a rejection
notice from Grants.gov after the deadline date and time, will have a
one-day grace period from the date stamp on the first Grants.gov
rejection notice after the deadline, to cure the basis for the
rejection and upload an application that corrects the problems cited in
the rejection notice. Applicants can upload the application as many
times as needed to cure noted deficiencies within the one-day grace
period. The Grants.gov rejection notice identifies the reasons why the
application was rejected. Applicants that do not understand the error
messages received in the rejection notice should immediately contact
the Grants.gov Help Desk so they can get assistance in clearing the
problem. Generally, Grants.gov will reject an application because it
contains an incorrect DUNS number or a DUNS number that does not match
the AOR's registration, the application was submitted by an individual
without proper authorization as the AOR, and/or the application
contains file names that trigger a ``VirusDetect'' message. The grace
period ends one day after the date stamp on the first rejection notice
received after the deadline date.
Warning: Applications that contain file names which are longer than
50 characters (HUD recommends using file names with 32 characters or
less), or contain spaces or special characters, will result in the file
being detected as a virus by the Grants.gov system and the application
will be rejected with a ``VirusDetect'' message. In FY2008, the use of
spaces and special characters in file names, and the use of file names
which were longer than fifty characters, resulted in the most instances
of an applicant receiving a ``VirusDetect'' rejection. Applicants
should also scan files for viruses because the Grants.gov system will
also reject files with viruses.
Applications received by Grants.gov, including those received
during the grace period, must be validated by Grants.gov to be rated or
ranked or receive funding consideration by HUD. HUD will use the date
and time stamp on the Grants.gov system to determine dates when the
grace period begins and ends.
b. Applications uploaded to Grants.gov after the deadline date
under the following circumstances do not qualify for the grace period
and will not be considered for funding:
(1) Applications uploaded and received by Grants.gov after the
deadline date and time for which there is no prior rejection notice in
the Grants.gov system logs will be considered late and will not be
rated and ranked or receive funding consideration. Failure to
successfully upload the application to Grants.gov by the deadline date
and time does not qualify for the grace period as described above.
(2) Applications receiving a rejection notice due to the funding
opportunity being closed will not be provided the one day grace period
to correct the ``opportunity closed'' deficiency or any other basis for
rejection because the applicant missed the deadline date and time and
therefore does not qualify for the grace period as described above.
(3) If an application is uploaded during the grace period and is
subsequently rejected after the grace period ends, the applicant will
not be afforded additional time to correct the deficiency(ies) noted in
the rejection notice.
c. The grace period ends at 11:59:59 p.m. one day from the date
stamp on the first rejection notice issued by the Grants.gov system to
the e-mail address provided in the Grants.gov registration. Applicants
must ensure that their e-mail notification address contained in the
Grants.gov registration is up-to-date. Neither HUD nor Grants.gov will
be responsible if e-mail messages are not received at the address
listed in the registration process. Applicants must also ensure that
their e-mail systems will accept messages from Grants.gov. Applicants
are responsible for monitoring their e-mail messages. Messages from
Grants.gov come from [email protected].
d. The only exceptions to HUD's grace period policy are:
(1) The Grants.gov system is down and not available to applicants
for at least 24 hours prior to the deadline date, or the system is down
for 24 hours or longer, impacting the ability of
[[Page 79566]]
applicants to cure a submission deficiency within the grace period;
and/or
(2) There is a presidentially declared disaster in the applicant's
area. In the event of either or both of these events, HUD will publish
a notice extending the deadline or cure period, for applicants
affected, as appropriate.
e. Busy servers or slow processing are not the basis for HUD to
extend the deadline dates or the grace period.
Applicants are advised to monitor the Grants.gov system using the
Grants.gov blog at http://grants-gov.blogspot.com/. The Grants.gov blog
provides information on server capacity, traffic on the Grants.gov
site, and other federal grant closings each day. Applicants should
monitor the site and take into account the amount of traffic on the
site when applying.
2. An applicant will not be provided additional opportunities to
correct rejection errors if an application is rejected after the one-
day grace period has expired.
As with any electronic system, applicants may experience issues
when attempting to submit their application which does not permit the
uploading of the application to Grants.gov. Such issues can be due to
firewall and virus protection software that the applicant has placed on
their system or network; proxy and cache settings; Internet traffic;
limitation on the size of the files attempting to be transmitted
established at the applicant's site or by the applicant's Internet
provider; Grants.gov servers experiencing busy traffic; or any number
of issues. Therefore, HUD strongly advises applicants to submit their
applications at least 48 hours prior to the deadline and when the
Grants.gov Help Desk is open so that assistance can be provided.
Assistance may require diagnosing an applicant's particular issues. An
applicant that does not follow HUD's advice increases the applicant's
risk of not being able to meet the timely receipt requirements. A
submission attempt less than the recommended 48 hours before the
deadline does not allow the time needed to research the reason for the
problem or to work with the applicant in overcoming the uploading
difficulty. Similarly, attempting to submit within 24 hours of the
deadline or when the Grants.gov Help Desk is closed does not allow the
time needed for Grants.gov or HUD to provide the needed assistance. In
addition, HUD staff cannot provide assistance or contact Grants.gov on
your behalf after the Help Desk is closed.
3. Grants.gov Application Processing Steps and Notifications.
After successful upload of an application to Grants.gov, the
following processes will occur:
a. Confirmation of Submission to Grants.gov. When an application is
successfully uploaded to Grants.gov, the AOR submitting the application
will receive a confirmation screen on his or her computer that informs
the submitter that the application has been successfully uploaded to
Grants.gov and is being processed. This confirmation will include a
tracking number. Print this confirmation out and save it for your
records. If you submitted multiple applications, check your
confirmation for each application submitted. The tracking number, CFDA
Number, and Funding Opportunity Number, as well as the date and time of
submission will appear on the confirmation. If you do not receive this
confirmation, it usually means that your application has not been
successfully uploaded. If your screen goes blank or you have problems
uploading or your computer is not saving files, it usually means that
your computer does not have sufficient memory or processing capability
to store and upload the application. If you experience these
difficulties, you should go to http://www.grants.gov and log in using
your user name and password, and then click on ``Check Application
Status.'' If your application does not appear, you should immediately
call Grants.gov support at 800-518-GRANTS for assistance (this is a
toll-free number). If the Help Desk is closed, you should try reducing
the size of your application or temporarily taking files off your
computer to reduce the demand on your system. The files that were
removed can be placed back on your system after uploading the
application. (See information on Adobe Version 8.1.3 system
requirements contained in section IV.B.6 of this General Section.) HUD
also recommends checking to ensure that the applicant's firewalls and
anti-virus software allows access to the Grants.gov system.
b. Application Submission Validation Check. The application will
then go through a validation process. The validation check ensures
that:
(1) The application is virus free (this includes that the file
names comply with the required size limits and spacing and special
characters limitations);
(2) The application meets the deadline requirements established for
the funding opportunity (this includes the grace period and conditions
cited earlier in this notice);
(3) The DUNS number submitted on the application matches the DUNS
number in the registration, and that the AOR has been authorized to
submit the application for funding by the organization identified by
its DUNS number;
(4) The AOR has been authorized by the applicant's E-Biz POC to
submit the application;
(5) All the mandatory (highlighted) fields and forms were completed
on the application; and
(6) The correct version of Adobe Reader was used in completing the
application package forms.
c. Application Validation and Rejection Notification. If the
application fails any of the above items during the validation check,
the grant application will be rejected and Grants.gov will send an e-
mail to the person denoted by the applicant in the registration process
to receive e-mail notifications from Grants.gov. The e-mail will
indicate that the grant application has been rejected. The e-mail will
also include the reasons why the application was rejected. The e-mail
will come from Support@Grants.gov. The validation check can occur 24 to
48 hours after the application submission.
d. Applicants receiving a rejection notice have the opportunity to
cure the rejection under the terms and provisions listed under HUD's
grace period policy.
4. Receipt Dates and Times.
a. Timely Receipt Requirements and Proof of Timely Submission.
(1) Proof of Application Receipt. Receipt times and rejection
notifications are automatically recorded by Grants.gov. An electronic
time stamp is generated within the system when the application has been
successfully received, the application has been validated, or when an
application has been rejected. HUD will use these date stamps to
determine whether an application meets the timely receipt requirements.
(2) Confirmation Receipt. Upon submitting an application at
Grants.gov, the person submitting the application will see a
confirmation screen appear on their computer. The confirmation advises
the submitter that the application has been successfully uploaded to
Grants.gov. This confirmation will also include the Grants.gov tracking
number. Print the confirmation and save it with your records. If you do
not receive the Confirmation screen, go to http://www.Grants.gov, and
using the AOR user name and password, click on ``Check Application
Status.'' If there is no data to display for the submitted application,
the application was not successfully uploaded and not received by
Grants.gov.
[[Page 79567]]
(3) Grants.gov Receipt E-mail. Shortly after displaying the
successful submission Confirmation screen, Grants.gov will send a
Receipt Notice to the e-mail address listed in the registration. The
Receipt Notice will identify the application submitted and the date and
time it was received by Grants.gov. HUD will use this date and time
stamp to determine if the application was received by Grants.gov in
accord with the timely submission requirements in this notice. The
Receipt Notice merely acknowledges that an application was received.
The next step in the process is the validation of the registration
information against the DUNS number information and the applicant
electronic signature in the application submitted to Grants.gov; and a
check to see that there are no viruses in the application or that the
attachment files met the file-naming conventions contained in this
notice so as to be compatible with the Grants.gov system.
(4) Validation Receipt via E-mail. Within 24 to 48 hours after
receiving the Receipt Notice e-mail, the applicant will receive a
validation receipt or rejection notice via e-mail. The validation
receipt indicates that the application has passed the validation review
at Grants.gov and that the application is ready to be retrieved by the
grantor agency for agency processing. Please be aware that the
Grants.gov validation does not indicate that the grantor agency has
reviewed the content of your application; rather, the validation merely
indicates that the application has been successfully received and is
ready for pickup by the grantor agency.
(5) Rejection Notice. If an application fails the validation
process, the applicant is sent a rejection notice within 24 to 48 hours
after the notification of receipt by Grants.gov. The e-mail
notification will be sent to the e-mail address registered in the
Grants.gov system to receive e-mail notifications. The applicant should
review the rejection notice because it will include the reason(s) for
rejection. If the rejection notice is received prior to the deadline
date, the AOR should try to cure the deficiencies identified and
resubmit the application as soon as possible prior to the deadline. If
the rejection notice is received after the deadline date, the AOR
should try to cure the deficiencies identified and resubmit the
application prior to the end of the grace period. The most common
rejection notices are:
(a) Invalid DUNS.
``The DUNS number entered in your package is invalid or does not
match the DUNS number that is registered with the Central Contractor
Registry (CCR). Please verify that the DUNS number is entered
correctly, and is the same as in your Central Contractor Registry (CCR)
registration.''
(b) Password ID.
If the submitter submits using a password not associated with the
User ID or if the submitter forgets or confuses the password, the
submitter will not be able to log onto Grants.gov. Attempts to log on
using the wrong password/ID combination will result in a pop-up JAVA
Script Window with a Warning Notice. The notice states ``Grants.gov
cannot log you in with the provided credentials. You have made 1 of 3
allowed failed logins. Please verify your user name and password and
attempt to login again.'' Applicants can get their password reset by
going to their credential provider, obtaining a new password,
registering that password at Grants.gov and having the E-Biz Point of
Contact authorize the submitter as an AOR to submit the application
under the applicant DUNS number using the registered credentials.
(c) Not Authorized.
(i) A User that uses a User ID/Password combination that is
registered but has not been authorized by the applicant's E-Biz POC
will receive a rejection message that states, ``You are not designated
by your organization to be an Authorized Organizational Representative
and your application cannot be validated. You either have not
successfully completed the registration process or your E-Biz POC has
not authorized you to submit on behalf of your organization.'' To
verify whether you have been successfully registered with Grants.gov,
click https://apply07.grants.gov/apply/ApplicantLoginGetID. To check to
see if you have been designated by the E-Biz POC as an AOR, go to
http://www.grants.gov/applicants/org_step6.jsp.
(ii) Applicants that may have an authorized user name/password but
who enter the DUNS number incorrectly, or who use a DUNS number that
they have not been authorized to use, will receive the ``NOT
AUTHORIZED'' rejection in combination with the invalid DUNS message.
(iii) Individuals who attempt to apply for a grant for which
individuals are not an eligible applicant, will receive the Not
Authorized and Invalid DUNS rejection notices, plus a third rejection
notice that states: ``The grant opportunity for which you have applied
is designated for Authorized Organization Representatives (AOR) only.
However, your application or a grant/grants was not submitted on behalf
of a company, organization, institution, or government. An AOR submits
a grant on behalf of a company, organization, institution, or
government. AORS have the authority to sign grant applications and the
required certifications and/or assurances that are necessary to fulfill
the requirements of the application process.''
(d) VirusDetect.
A VirusDetect rejection message can be received if the application
contains a virus or if the application submission contains files which
do not meet the file-naming conventions stated in this notice.
(6) Most Common Reasons for Rejection. HUD has found that the most
common reason for rejection of an application by Grants.gov was the
failure of the applicant to be authorized by their E-Biz POC to submit
the application on behalf of the applicant organization. Fifty-nine
percent of the rejection notices contained the unauthorized notice
alone, indicating that they had used the correct DUNS number but had
not completed all the steps in the registration process. The second-
most common error was the use of spaces, special characters and file
names longer than fifty characters in an attachment file name. Use of
spaces, special characters, or file names that are longer than fifty
characters will result in a ``VirusDetect'' error. Twenty-three percent
of the rejections were due to ``VirusDetect'' errors. The third-most
common error was not submitting the application using the correct DUNS
number associated to the applicant organization for which the applicant
was the authorized AOR. Six percent of the rejected applications failed
validation for using a DUNS number that did not match the information
in the Grants.gov registration. Use of a DUNS number that does not
match the registration information results in three error messages.
(7) Save and File Receipts. Applicants should save all receipts
from Grants.gov, as well as facsimile receipts, for proof of timely
submission. Applicants will be considered meeting the timely submission
requirements based upon the requirements in section IV.C., Receipt
Dates and Times, and when all fax transmissions have been received by
11:59:59 p.m. on the deadline date stated in the program NOFA.
(8) Checking the Status of Your Application Online. Grants.gov
allows applicants to check the status of their application online. To
check your application status, log on at http://www.grants.gov and
click on Applicant Login, and then enter your user name
[[Page 79568]]
and password. Next, click on ``Check Application Status.'' All
applications submitted by the applicant with the user name and password
entered in the login screen will be identified and the status will be
displayed. Applicants are obligated to check the on-line status of
their application if they do not receive an immediate confirmation
notice or an email notice of receipt as well as validation. HUD advises
applicants to use this service to make sure the application was
received by Grants.gov in accordance with section IV.C., entitled
``Receipt Dates and Times,'' and to track the application to see if it
is validated or rejected by Grants.gov. Applications submitted after
the one day grace period stipulated in Section IV.C., Receipt Dates and
Times, will be considered late and will not receive funding
consideration.
(9) Understanding the Status Messages. If the application has not
been uploaded or received by Grants.gov, the status message will state,
``No data to display.'' Applicants seeing this message should attempt
to submit their application if the deadline date has not passed. HUD
will not accept an application that is received after the deadline date
and time, if there is no prior record of a rejection notice.
If an application has been received, Grants.gov will note on the
``Application Status'' display that the application has been received.
If the application has been received and validated, the status will
display as validated.
If an application has been rejected, the status will display that
the application has been rejected with errors and the applicant should
click on the rejection to see what the error message was or should
consult his or her email for the reasons for the rejection.
If an application has been received by HUD, the status will note
that the application has been received by the granting agency.
When HUD assigns a tracking number, the status will indicate that
the agency has assigned a tracking number.
Applications are not received by HUD until HUD pulls the
application from Grants.gov. As long as the application shows validated
by Grants.gov in accordance with the timely receipt requirement stated
in this notice, applicants should not be concerned that the application
was not received by HUD or not assigned a tracking number. That step of
the process will occur when HUD pulls the applications from the
Grants.gov site into its backend system.
(10) Grants.gov Support Ticket Numbers. If you call the Grants.gov
Support Help Desk, the operator will provide you with a call reference
ticket number. Applicants should retain a record of the call ticket
number(s) along with the application receipts or rejection notices
received from Grants.gov. If the Help Desk does not offer a ticket
number, ask for one.
b. Late applications.
(1) Applications received by Grants.gov after the program NOFA
deadline date or that do not meet the requirements of HUD's grace
period policy will be considered a late application and will not be
considered for funding. Applicants should pay close attention to the
grace period policy and the timely receipt instructions, as they can
make a difference in whether HUD will accept the application for
funding consideration.
(2) HUD will not consider application information submitted by
facsimile as part of the application, if received by HUD after the
published deadline date, unless directed by HUD under the terms of
paragraph V.B.4., Corrections to Deficient Applications. There is no
grace period for submission of facsimile transmissions, as the
facsimile system is not part of Grants.gov. HUD now has the ability to
match the facsimile transmission to the last application received and
validated in accordance with the deadline requirements. Please take
into account the transmission time required for facsimile documents
related to your application.
HUD recommends that applicants submit their applications during the
operating hours of the Grants.gov Help Desk so that, if there are
questions concerning transmission, operators will be available to
assist you through the process. Submitting your application early and
during the Help Desk hours will also ensure that you have sufficient
time for the application to complete its transmission before the
application deadline. If you try to submit your application after the
Grants.gov Support Help Desk closes, please refer to HUD's Desktop
Users Guide for Submitting Electronic Grant Applications found at
http://www.hud.gov/offices/adm/grants and submission information
contained in this notice.
c. Submission Tips.
(1) Delayed Transmission Time. Applicants using dial-up connections
should be aware that transmitting your application takes extra time
before Grants.gov receives it. Grants.gov will provide either an error
or a successfully received transmission message. The Grants.gov Help
Desk reports that some applicants abort the transmission because they
think that nothing is occurring during the transmission process. Please
be patient and give the system time to process the application.
Uploading and transmitting a large file, particularly electronic forms
with associated eXtensible mark-up language (XML) schema, will take
considerable time to process and be received by Grants.gov. However,
the upload even for large files should not take longer than one hour.
If you are still waiting after one hour for the submission to be
uploaded to Grants.gov, stop the transmission and check the available
disk space and memory on your computer or check to see if you followed
the submission requirements, including naming of files, and that you
are using compatible versions of Adobe 8.1.3 with Adobe Professional on
your computer operating system. HUD has found that difficulty in
uploading an application from the applicant's desktop is most
frequently due to: (a) Use of the wrong DUNS number or user name/
password combination; (b) the application package being too large to be
handled by the applicant's computer; (c) the applicant not downloading
and setting the default settings to be compatible with the version of
Adobe Reader downloaded; (d) the local entity's network limiting the
size of files going in or out; (e) the Internet service provider having
a file size limit (it often depends on the level of service contracted
for); (f) the applicant's firewall is set to limit files going in or
out, or access to certain Web sites; and (g) the applicant's anti-virus
software or system set-up has placed other limits on accessing websites
or file contents. HUD has found that if applicants, when uploading
their applications, were first asked to permit access, it was usually
because their firewall settings were preventing access to other
websites, which resulted in submission failures. Applicants should
check their firewall setting prior to beginning transmission to allow
access to the Grants.gov portal. If you, the applicant, are
experiencing long upload delays, or you receive a time-out error
message, you should check your package for errors, anti-virus software,
firewall, or Internet provider to be sure that there are no file size
limits, and work with your IT support to address Internet, firewall,
and anti-virus issues. In many instances, firewall and anti-virus
protection can cause transmission problems and need to be disabled to
permit a successful transmission. Applicants should also check their
proxy and cache server configuration settings to ensure the application
can be transmitted to
[[Page 79569]]
Grants.gov. Grants.gov uses HTTP post protocols on Port 80.
Please also ensure that file attachments are named in accord with
the directions in this General Section. Be aware that multiple
applications on a computer or very large files can overcome the
processing power of a computer. If this is the case, you are advised to
reduce the number and size of the attachment files by removing
attachment files and submitting the attachments via the facsimile
method, using the form HUD-96011 as the cover page, while the
application without attachments should be uploaded to Grants.gov. HUD
will match applications submitted to Grants.gov with facsimiles that
have been transmitted following the directions in this notice. Do not
split attachment files into two separate applications. HUD can only
view the contents of a single application. For HUD to review the
complete application, files must be transmitted with the application or
associated with an application through use of the facsimile using the
Facsimile Transmittal Cover Sheet (form HUD-96011). HUD will not match
attachment files submitted either in two applications, or without using
the cover sheet.
(2) Using Task Manager to Monitor Processing. Applicants
experiencing long upload times or seeing a screen that states
``Processing do not close,'' can check to see if the application is
frozen or just taking awhile to upload by turning on the Task Manager
to see if there is any processing occurring. To view the Task Manager,
press Ctrl+Alt+Delete (by holding down Ctrl and Alt and then pressing
Delete). A dialog box will appear; select Task Manager. There are four
tabs across the top of the Task Manager. Select the Performance tab;
then you will see two pairs of windows: CPU and Page file usage and
usage history. The little windows on the right side (usage history)
look like little graphs moving from right to left about one tick every
second. As long as those graphs continue to move toward the left, you
know your machine is not frozen. If the graph lines stop moving for
more than a few seconds, your machine is totally frozen and you should
immediately shut down the application, remove cookies, close down and
reboot your computer, and then try to upload again.
(3) Uploading Directly from Your Internet Browser. If you have
difficulty submitting the application, close down all applications,
then reboot your computer and follow these steps:
(a) Open the Internet Explorer browser on your computer.
(b) Go to the File Menu and select ``Open.'' This will cause the
``Open'' dialog box to appear.
(c) Click on the browse button, and another dialog box will appear
with access to your files.
(d) In the dialog box, go to the drop-down menu for ``File Types''
and select ``All Files.''
(e) Through the dialog box, find the location of your saved
application package (including the attachments).
(f) Once you have located your application package, select it with
your mouse and click the ``Open'' button. The dialog box will disappear
and the ``Open'' dialog box will still be present.
(g) In the ``Open'' dialog box, click on the ``OK'' button. Your
application package will now appear.
(h) Within your application package, to submit, click on the
``Submit and Save'' button.
(4) Ensure You Have Installed the Free Grants.gov Software. Check
to ensure that the latest version of the Adobe Reader software
available from Grants.gov, which is free for system users, has been
properly installed on your computer. Applicants will find a link to the
free software for download at the Download Application page for the
funding opportunity available on Grants.gov. HUD has found that an
improper installation or not using the recommended version of the Adobe
Reader 8.1.3 software will result in an application not being able to
upload properly. If you are not sure how to determine if the software
is properly installed, call the Grants.gov Support Desk. If you are
operating your computer through a network, contact your system
administrator to download the latest software. Please allow sufficient
time for your network system administrator to respond to your request.
5. Adobe Reader Error Messages.
The following are common error messages applicants may encounter
while completing or uploading an Adobe Reader application package.
a. An Error Message Occurred During File Transmission.
This error message means that you are experiencing network
connectivity issues or the network is slow. The file that you are
attempting to upload is NOT being fully transmitted to Grants.gov.
Grants.gov recommends that you check the Internet connection or contact
your IT support staff to check your network connectivity and then try
again. Please remember that often networks or Internet service
providers have limits on the size of files transmitted. Often Internet
service providers require an upgrade in service to transmit larger
files or unlimited size files. This may also be true for internal
organizational networks.
b. COS Parsing Exception at Position#######.
If you receive this error message, the application package you
submitted is corrupt and you have to resubmit a new application.
Applicants are advised not to use data from the corrupt application to
copy and paste into the new application because it is likely to corrupt
the new application or cause transmission errors. Applicants should
close and delete the corrupt file, download a new application package,
open, complete the package manually and submit using a supported
version of Adobe Reader. HUD also advises applicants that have
attempted to upload the package through their browser to shut the
browser and close all applications, delete any cookies, and then reboot
before trying to resubmit.
c. Error: org.xml.sax.SAXParseException:
In most cases this error indicates the form opened with software
that is unsupported such as:
An incompatible version of Adobe Acrobat Professional.
An incompatible version of Adobe Reader (other than
8.1.3).
Other Software.
In order to submit an Adobe Reader application package, you must
have a compatible version of Adobe Reader. If you have received this
error message it is recommended that you download a new application
package then open, complete and submit it with the compatible version
of Adobe Reader. If you collaborate on the application with others,
please ensure that they have the compatible version of the Adobe
Reader. If they have more than one version of the Adobe Reader on their
computer advise them to either reset the default setting or remove the
non-compatible version of Adobe Reader and replace it with the free
Adobe Reader software from Grants.gov. HUD also advises applicants that
have attempted to upload the package through their browser to shut the
browser and close all applications, delete any cookies, and then reboot
before trying to resubmit.
d. File Damaged and Cannot Be Repaired.
This error message means that your application package is corrupt.
In order to successfully submit an application package, you will need
to download a new application and resubmit. To avoid corruption you
must use a compatible version of the Adobe Reader to view and complete
the application.
e. Incompatible version of Adobe.
[[Page 79570]]
You will receive this error message if your application was opened
with software other than a compatible version of Adobe Reader. Any and
all edits made to an Adobe Reader application package must be made with
a compatible version of Adobe Reader. Applications submitted with other
than supported versions of Adobe Reader will not work with the
Grants.gov system. The compatible version of Adobe Reader is available
at the Grants.gov Web site at http://www.adobe.com/products/acrobat/readstep2_allversions.html.
f. Schema Validation Error.
In most cases this error message indicates the application package
was opened at one point in time with an unsupported version of:
Adobe Reader.
Adobe Professional.
Other Software.
You should download a new application package, open and complete
the package manually and submit using a supported version of the Adobe
Reader. You cannot use an existing corrupted package or data from the
package to export and populate a new package because it is likely to
corrupt the new package and/or cause submission errors.
g. Intake Servlet is Unable to Save the Data.
This is an error message that may occur during Grants.gov
processing. Grants.gov will reprocess the application retaining the
original submission dates and times. Processing may result in
validation or rejection of the application. See information on reasons
for rejection of an application. Applicants receiving the ``Intake
Servlet Unable to Save the Data'' error message should check the status
of their application by logging onto Grants.gov with their user name
and password and checking the application status. If the status does
not show the application received call the Grants.gov Help Desk.
h. Broken Pipe. If you receive the ``Broken Pipe'' message, this
means that there were intermittent interruptions during submission. As
a result the confirmation screen did not display properly after you
submitted your application. If the ``Broken Pipe'' error message
displays, you will not automatically receive a Grants.gov confirmation
page and tracking number for your application. To ensure that your
application package was received you have two options:
(1) Use the on-line ``Track Application Status'' feature on
Grants.gov and view your submitted applications. If you do not see your
submitted application listed follow the instructions under item (b):
(2) Open the Internet browser window (example: Internet Explorer)
and resubmit your application package as normal. If you still do not
receive the confirmation page after you resubmit your application
package, contact the Grants.gov Help Desk by calling 800-518-GRANTS or
e-mailing Support@Grants.gov. HUD recommends calling the center for
faster service.
i. Error: Failed to Update Grant Application XML's LOB:Failed to
Update Grant Application XML's LOB. Grants.gov automatically
reprocesses these applications. You should receive a receipt
notification and either a rejection or validation notice following
reprocessing. Applicants are advised to track the applications via the
on-line ``Track Application Status,'' the e-mail notifications or by
calling the Grants.gov Help Desk. Reprocessed applications retain their
original receipt times.
Grants.gov has also established a troubleshooting page for
applicants at http://www.grants.gov/help/trouble_tips.jsp. Applicants
are advised to be familiar with this page and pass on this information
and the General Section instructions to any persons working on your
application or charged with submitting the application on behalf of
your organization.
D. Intergovernmental Review/State Points of Contact (SPOC).
Executive Order 12372, ``Intergovernmental Review of Federal
Programs,'' was issued to foster intergovernmental partnership and
strengthen federalism by relying on state and local processes for the
coordination and review of federal financial assistance and direct
development. HUD implementing regulations are published at 24 CFR part
52. The Executive Order allows each state to designate an entity to
perform a state review function. Applicants can find the official
listing of SPOCs for this review process at http://www.whitehouse.gov/omb/grants/spoc.html. States not listed on the Web site have chosen not
to participate in the intergovernmental review process and, therefore,
do not have a SPOC. If your state has a SPOC, you should contact the
SPOC to see if it is interested in reviewing your application before
you submit it to HUD.
Please make sure that you allow ample time for this review when
developing and submitting your application. If your state does not have
a SPOC, you can submit your application directly to HUD using
Grants.gov.
E. Funding Restrictions. The individual program NOFAs will describe
any funding restrictions that apply to each program.
F. Other Submission Requirements.
1. Discrepancies Between the Federal Register and Other Documents.
The Federal Register documents published by HUD are the official
documents that HUD uses to solicit applications. Therefore, if there is
a discrepancy between any materials published by HUD in its Federal
Register publications and other information provided in paper copy,
electronic copy, at http://www.grants.gov, or its Help Desk, or at
HUD's Web site, the Federal Register publication prevails. Please be
sure to review your application submission against the requirements in
the Federal Register for the program NOFA or NOFAs to which you are
applying. If you note discrepancies, please notify HUD immediately by
calling the program contact listed in the NOFA, or the Office of
Departmental Grants Management at 202-708-0667 (this is not a toll-free
number).
2. Application Certifications and Assurances. Applicants are placed
on notice that by signing (either through electronic submission or in
paper copy submission, for those applicants granted a waiver to submit
in paper) the SF-424 cover page:
a. The governing body of the applicant's organization has duly
authorized the application for federal assistance. In addition, by
signing or electronically submitting the application, the AOR certifies
that the applicant:
(1) Has the legal authority to apply for federal assistance and has
the institutional, managerial, and financial capacity (including funds
to pay for any non-federal share of program costs) to plan, manage, and
complete the program as described in the application;
(2) Will provide HUD with any additional information it may
require; and
(3) Will administer the award in compliance with requirements
identified and contained in the NOFA (General and Program Sections), as
applicable to the program for which funds are awarded and in accordance
with requirements applicable to the program.
b. No appropriated federal funds have been paid or will be paid, by
or on behalf of the applicant, to any person for influencing or
attempting to influence an officer or employee of any agency, a member
of Congress, or an employee of a member of Congress, in connection with
this application for federal assistance or any award of funds resulting
from the submission of this application for federal assistance or its
[[Page 79571]]
extension, renewal, amendment, or modification. If funds other than
federally appropriated funds have been or will be paid for influencing
or attempting to influence the persons listed above, the applicant
agrees to complete and submit the SF-LLL, Disclosure of Lobbying
Activities, as part of its application submission package. The
applicant further agrees to and certifies that it will require similar
certification and disclosure of all subawards at all tiers, including
subgrants and contracts.
c. Federally recognized Indian tribes and tribally designated
housing entities (TDHEs) established by a federally recognized Indian
tribe, as a result of the exercise of the tribe's sovereign power, are
excluded from coverage by item b. (also known as the Byrd Amendment).
However, state-recognized Indian tribes and TDHEs established under
state law are not excluded from the statute's coverage and, therefore,
must comply with item b. above.
By submitting an application, the applicant affirms its awareness
of these certifications and assurances. The AOR submitting the
application is affirming that these certifications and assurances are
material representations of the facts upon which HUD will rely when
making an award to the applicant. If it is later determined that the
signatory to the application submission knowingly made a false
certification or assurance or did not have the authority to make a
legally binding commitment for the applicant, the applicant may be
subject to criminal prosecution, and HUD may terminate the award to the
applicant organization or pursue other available remedies.
3. Waiver of Electronic Submission Requirements. The regulatory
framework for HUD's electronic submission requirement is the final rule
established in 24 CFR 5.1005. Applicants seeking a waiver of the
electronic submission requirement must request a waiver in accordance
with 24 CFR 5.1005. HUD's regulations allow for a waiver of the
electronic submission requirement for good cause. If the waiver is
granted, the applicable program office's response will include
instructions on how many copies of the paper application must be
submitted, as well as how and where to submit them. Applicants that are
granted a waiver of the electronic submission requirement will not be
afforded additional time to submit their applications. The deadlines
for applications will remain as provided in the program section of the
NOFA. As a result, applicants seeking a waiver of the electronic
application submission requirement should submit their waiver request
with sufficient time to allow HUD to process and respond to the
request. Applicants should also allow themselves sufficient time to
submit their application so that HUD receives the application by the
established deadline date. For this reason, HUD strongly recommends
that if an applicant finds it cannot submit its application
electronically and must seek a waiver of the electronic grant
submission requirement, it should submit the waiver request to the HUD
program office designated in the applicable program NOFA no later than
15 days before the application deadline. To expedite the receipt and
review of such requests, applicants may email their requests to the
program contact listed in the program NOFA. If HUD does not have
sufficient time to process the waiver request, a waiver will not be
granted. Paper applications received without a prior approved waiver
and/or after the established deadline date will not be considered.
Applicants that submit a paper application with the wrong DUNS number
will be provided the same one-day grace period to provide a corrected
SF-424 to the location indicated in the waiver approval. Failure to
meet the requirements will deem the application late and, as a result,
the application will not be considered, rated, or ranked.
V. Application Review Information
A. Criteria
1. Factors Used to Evaluate and Rate Applications. For each program
NOFA, the points awarded for the rating factors total 100, with a
possibility of up to 2 bonus points, as specified below:
a. RC/EZ/EC-II. HUD will award two bonus points to each application
that includes a valid form HUD-2990 certifying that the proposed
activities/projects in the application are consistent with the
strategic plan for an empowerment zone (EZ) designated by HUD or the
U.S. Department of Agriculture (USDA), the tax incentive utilization
plan for an urban or rural renewal community designated by HUD (RC), or
the strategic plan for an enterprise community designated in round II
by USDA (EC-II); and that the proposed activities/projects will be
located within the RC/EZ/EC-II identified above and are intended to
serve the residents. For ease of reference in this notice, all of the
federally designated areas are collectively referred to as ``RC/EZ/EC-
IIs'' and residents of any of these federally designated areas as ``RC/
EZ/EC-II residents.'' The individual funding announcements will
indicate if the bonus points are available under the program. This
notice contains a certification that must be completed for the
applicant to be considered for RC/EZ/EC-II bonus points. Applicants can
obtain a list of RC/EZ/EC-IIs from HUD's grants Web page at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Applicants can determine
if their program or project activities are located in one of these
designated areas by using the locator on HUD's Web site at http://egis.hud.gov/egis/.
b. The Five Standard Rating Factors for FY2009. HUD has established
the following five standard factors for awarding funds under the
majority of its FY2009 program NOFAs. When providing information to HUD
in response to Rating Factor 1, Capacity, applicants should not include
Social Security Numbers on any resumes submitted to HUD.
Factor 1: Capacity of the Applicant and Relevant Organizational
Staff.
Factor 2: Need/Extent of the Problem.
Factor 3: Soundness of Approach.
Factor 4: Leveraging Resources.
Factor 5: Achieving Results and Program Evaluation.
In FY2009, HUD is establishing standardized points for evaluating
Logic Models submitted under Rating Factor 5, Achieving Results and
Program Evaluation. The decision to standardize this rating factor
resulted from review of submitted Logic Models and rating factor
narrative statements, and training sessions held with HUD staff and the
applicant community.
By standardizing the rating for the Logic Model submission, HUD
believes that a greater understanding will be gained on the use and
relationship of the Logic Model to information submitted as part of the
Rating Factors for award. The standardization of the Logic Model
submission in Rating Factor 5 highlights the relationship between the
narratives produced in response to the factors for award, stated
outputs and outcomes, and discrepancies or gaps that have been found to
exist in submitted Logic Models. HUD also believes that the
standardization will strengthen the use of the Logic Model as a
management and evaluation tool.
The Logic Model is a tool that integrates program operations and
program accountability. It links program operations (mission, need,
intervention, projected results, and actual results), and program
accountability (measurement tool, data source, and frequency of data
collection and reporting, including personnel assigned
[[Page 79572]]
to function). Applicants/grantees should use it to support program
planning, monitoring, evaluation, and other management functions.
HUD uses the Logic Model and its electronic version, the eLogic
Model[supreg], to capture an executive summary of the application
submission in data format, which HUD uses to evaluate the attainment of
stated applicant goals and anticipated results. HUD also uses the data
for policy formulation.
HUD encourages applicants and those selected for award to use the
Logic Model data to monitor and evaluate their own progress and
effectiveness in meeting stated goals and achieving results consistent
with the program purpose. To further this objective, and in response to
grantee requests, for FY2009 HUD has added an additional column to the
eLogic Model[supreg] that allows the grantee to input results achieved
for the reporting period, as well as Year-To-Date (YTD) for each year
of the award. This will allow the grantee to review performance each
reporting period and for each year of the award ``at a glance,'' and
without having to construct a report. For further information, see the
Instructions in the FY2009 eLogic Model[supreg], form HUD-96010. HUD's
goal is to measure the effectiveness of programs and ensure that
housing, economic development programs, and services provided by HUD
funds provide maximum benefit to low- and moderate-income persons in
communities nationwide.
Factor 5, Achieving Results and Program Evaluation, will consist of
10 points for the Logic Model submission. Program areas can add up to
an additional 5 points for responses to particular programmatic
questions to be addressed as part of this factor. The matrix provided
in Attachment 1 of this General Section identifies how the Logic Model
will be rated in a standardized way across program areas. Training on
the rating factor will be provided via satellite broadcast and archived
on HUD's Web site for repeat viewing.
Additional details about the five rating factors and the maximum
points for each factor are provided in the program NOFAs. For a
specific funding opportunity, HUD may modify these factors to take into
account explicit program needs or statutory or regulatory limitations.
Applicants should carefully read the factors for award as described in
the program NOFA to which they are responding.
The Continuum of Care Homeless Assistance programs have only two
factors that receive points: (1) Need and (2) Continuum of Care.
Additional information will be available in the Continuum of Care
program NOFA to be published in the Federal Register.
c. Additional Criteria: Past Performance. In evaluating
applications for funding, HUD will take into account an applicant's
past performance in managing funds, including, but not limited to, the
ability to account for funds appropriately; timely use of funds
received either from HUD or other federal, state, or local programs;
timely submission and quality of reports to HUD; meeting program
requirements; meeting performance targets as established in Logic
Models approved as part of the grant agreement; timelines for
completion of activities and receipt of promised matching or leveraged
funds; and the number of persons to be served or targeted for
assistance. HUD may consider information available from HUD's records;
the name check review; public sources such as newspapers, Inspector
General or Government Accountability Office reports or findings; or
hotline or other complaints that have been proven to have merit.
In evaluating past performance, HUD may elect to deduct points from
the rating score or establish threshold levels as specified under the
Factors for Award in the individual program NOFAs. Each program NOFA
will specify how past performance will be rated.
B. Reviews and Selection Process
1. HUD's Strategic Goals to Implement HUD's Strategic Framework and
Demonstrate Results. HUD is committed to ensuring that programs result
in the achievement of HUD's strategic mission. To support this effort,
grant applications submitted for HUD programs will be rated on how well
they tie proposed outcomes to HUD's policy priorities and annual goals
and objectives, as well as the quality of the applicant's proposed
evaluation and monitoring plans. HUD's strategic framework establishes
the following goals and objectives for the Department:
a. Increase Homeownership Opportunities.
(1) Expand national homeownership opportunities.
(2) Increase minority homeownership.
(3) Make the home buying process less complicated and less
expensive.
(4) Reduce predatory lending through reform, education, and
enforcement.
(5) Help HUD-assisted renters become homeowners.
(6) Keep existing homeowners from losing their homes.
b. Promote Decent Affordable Housing.
(1) Expand access to and the availability of decent, affordable
rental housing.
(2) Improve the management accountability and physical quality of
public and assisted housing.
(3) Improve housing opportunities for the elderly and persons with
disabilities.
(4) Promote housing self-sufficiency.
(5) Facilitate more effective delivery of affordable housing by
reforming public housing and the Housing Choice Voucher program.
c. Strengthen Communities.
(1) Assist disaster recovery in the Gulf Coast region.
(2) Enhance sustainability of communities by expanding economic
opportunities.
(3) Foster a suitable living environment in communities by
improving physical conditions and quality of life.
(4) End chronic homelessness and move homeless families and
individuals to permanent housing.
(5) Address housing conditions that threaten health.
d. Ensure Equal Opportunity in Housing.
(1) Ensure access to a fair and effective administrative process to
investigate and resolve complaints of discrimination.
(2) Improve public awareness of rights and responsibilities under
fair housing laws.
(3) Improve housing accessibility for persons with disabilities.
(4) Ensure that HUD-funded entities comply with fair housing and
other civil rights laws.
e. Embrace High Standards of Ethics, Management, and
Accountability.
(1) Strategically manage human capital to increase employee
satisfaction and improve HUD performance.
(2) Improve HUD's management and internal controls to ensure
program compliance and resolve audit issues.
(3) Improve accountability, service delivery, and customer service
of HUD and its partners.
(4) Capitalize on modernized technology to improve the delivery of
HUD's core business functions.
f. Promote Participation of Faith-Based and Other Community
Organizations.
(1) Reduce barriers to faith-based and other community
organizations' participation in HUD-sponsored programs.
(2) Conduct outreach and provide technical assistance to strengthen
the capacity of faith-based and community organizations to attract
partners and secure resources.
[[Page 79573]]
(3) Encourage partnerships between faith-based/other community
organizations and HUD's grantees and subgrantees.
Additional information about HUD's Strategic Plan FY2006-FY2011,
and 2002-2008 Annual Performance Plans is available at http://www.hud.gov/offices/cfo/reports/cforept.cfm.
2. Policy Priorities. HUD encourages applicants to undertake
specific activities that will assist the Department in implementing its
policy priorities and achieving its goals for FY2009 and beyond.
Applicants that include work activities that specifically address one
or more of these policy priorities will receive higher rating scores
than applicants that do not address these HUD priorities. Each NOFA
issued in FY2009 will specify which priorities relate to a particular
program and how many points will be awarded for addressing those
priorities.
a. Improving the Knowledge of Homeowners, Homebuyers, and Renters
to be Aware of Discriminatory Practices in Real Estate and Lending;
their Rights; and Increase Financial Literacy to Prevent Foreclosure to
Address the Needs of Households Facing Foreclosure.
Many households are currently at risk of losing their homes or are
currently facing foreclosure procedures. Other households, particularly
households composed of low- and moderate-income persons, persons with
disabilities, the elderly, minorities, and persons with limited English
proficiency are shut out of the housing market or face discriminatory
lending or rental practices. HUD is interested in applicants
undertaking the following types of activities to address the needs of
these households such as:
(1) Providing Credit Counseling and Education for Families and
Individuals.
How to track spending and establishing a household budget;
Managing credit cards and credit card debt;
Understanding a credit report and how to improve credit
scores;
Establishing a savings plan and investment plan;
How to prevent foreclosure;
Understanding the foreclosure process and options open to
homeowners;
Buying a foreclosed home--opportunities and risks.
(2) Homebuying Information for New Homeowners.
Buying a new home;
Buying an FHA Real Estate Owned Property;
Buying a foreclosed property;
Understanding loan alternatives;
Understanding FHA mortgages and options;
Financial ability to repay a loan;
Accounting for additional expenses;
Understanding the appraisal process;
Understanding a home inspection process and report;
Understanding predatory lending practices; and
Understanding your rights under the Fair Housing Act and
fair lending practices;
(3) Rental Housing Options.
Understanding lease agreements;
Understanding landlord tenant rights and responsibilities;
Understanding lending discrimination; and
Understanding discriminatory rental practices and where to
seek assistance;
(4) How to file a housing discrimination complaint.
(5) Complying with Limited English Proficiency requirements.
(6) Addressing the needs of homeowners, homebuyers, and renters who
are persons with disabilities;
How to design informational literature and presentations
for persons with disabilities,
Understanding accessible design and visibility standards
for educating architects, builders, local, and state officials to
increase the housing choices for persons with Limited English
Proficiency or persons with disabilities;
Understanding how to market to persons with disabilities;
and
Educating persons with disabilities on Uniform
Accessibility Standards (UFAS), which apply to section 504 of the
Rehabilitation Act of 1973.
Applicants seeking a policy priority point must identify the
specific activities to be undertaken and the expected outcomes to be
achieved as a result of the activities. The outcomes must be expressed
in terms of the numbers of households assisted that either obtained
rental housing or achieved homeownership; were able to improve their
credit score or prevent foreclosure; were able to retain their home
after having received a notice of foreclosure; were able to obtain a
mortgage loan or reduce the rate or the amount owed on their mortgage;
were able to find affordable rental housing that is accessible and
visitable; or reported and/or filed a Fair Housing complaint. Copies of
the UFAS are available online at http://www.access-board.gov/ufas/ufas-html/ufas.htm. The design and construction requirements for covered
multifamily dwelling units that are applicable to the Fair Housing Act
are found at http://www.fairhousingfirst.org and select ``Design or
Construction Requirements.''
Proposed activities support strategic goals a, b, and d.
b. Encouraging Accessible Design Features. As described in section
III.C.2.c., applicants must comply with applicable civil rights laws,
including the Fair Housing Act, section 504 of the Rehabilitation Act
of 1973, and the Americans with Disabilities Act. These laws and
regulations implementing them prohibit discrimination based on
disability and require recipients to ensure that assisted housing,
facilities, programs, and activities are accessible to persons with
disabilities, including meeting accessibility design standards. HUD is
encouraging applicants to add accessible design features beyond those
required under civil rights laws and regulations. Such features would
eliminate barriers not addressed by design standards that limit the
access of persons with disabilities to housing and other facilities.
Copies of the UFAS are available online at http://www.access-board.gov/ufas/ufas-html/ufas.htm; from the NOFA Information Center at 800-HUD-
8929 (toll free); and from the Office of Fair Housing and Equal
Opportunity, Department of Housing and Urban Development, 451 Seventh
Street, SW., Room 5240, Washington, DC 20410-2000; telephone number
202-708-2333 (this is not a toll-free number). Persons with hearing or
speech impairments may access these numbers via TTY by calling the
Federal Information Relay Service at 800-877-8339. (This is a toll-free
number.)
Accessible design features are intended to promote visitability and
incorporate features of universal design, as described below.
(1) Visitability in New Construction and Substantial
Rehabilitation. Applicants are encouraged to incorporate visitability
features, where feasible, in new construction and substantial
rehabilitation projects. Visitability features allow a person with
mobility impairments access into the home, even if such features are
not required by accessibility standards. Applicants should be aware of
any locally adopted visitability standards. Generally, visitability
standards or guidelines do not require that all features of a housing
or other facility be made accessible to a person with a disability.
Visitability means that there is at least one entrance at grade (no
steps), approached by an accessible route such as a sidewalk, and that
the entrance door and all interior passage doors are at least 2 feet,
10 inches wide, allowing 32 inches of clear passage space. A visitable
home also serves
[[Page 79574]]
persons without disabilities, such as a mother pushing a stroller or a
person delivering a large appliance. More information about
visitability is available at http://www.concretechange.org/.
Activities support strategic goals b, c, and d.
(2) Universal Design. Applicants are encouraged to incorporate
universal design in the construction or rehabilitation of housing,
retail establishments, and community facilities funded with HUD
assistance. Universal design is the design of products and environments
to be usable by all people to the greatest extent possible, without the
need for adaptation or specialized design. The intent of universal
design is to simplify life for everyone by making products,
communications, and the built environment more usable by as many people
as possible at little or no extra cost to the user. In addition to any
applicable required accessibility feature under section 504 of the
Rehabilitation Act of 1973 or the design and construction requirements
of the Fair Housing Act, the Department encourages applicants to
incorporate the principles of universal design when developing housing,
community facilities, and electronic communication mechanisms, or when
communicating with community residents at public meetings or events.
HUD believes that to address affordable housing needs effectively,
it is necessary to provide affordable housing that is accessible to all
regardless of ability or age. Likewise, creating places where people
work, train, and interact that are usable and open to all residents
increases opportunities for economic and personal self-sufficiency.
More information on universal design is available from the Center for
Universal Design at http://www.design.ncsu.edu/cud/ or the Resource
Center on Accessible Housing and Universal Design at http://www.abledata.com/abledata.cfm?pageid=113573&top=16029§ionid=19326.
To obtain the policy priority point, applicants must identify the
proposed number of units or facilities which will be provided that
incorporate Universal Design and/or Visitability Features, including
what features are planned for inclusion in the design and for how many
units. Individual NOFAs will identify the minimum number of units or
community facility areas that must comply with this requirement to
receive the policy priority point. Selected applicants will be required
to report on an annual basis the number of units that were completed
according to the plan; and the actual number of households that were
placed in the units, including the square footage of units or public
facilities or common areas. Applicants must identify visitability
features that will be part of their program of activities and its
projected results, including linear feet of sidewalk, walkway, or other
areas that were created or modified to enhance visitability or meet
locally adopted visitability requirements.
Activities support strategic goals a through d.
c. Providing Full and Equal Access to Grassroots Faith-Based and
Other Community Organizations in HUD Program Implementation.
(1) HUD encourages applicants to partner with nonprofit
organizations, including grassroots faith-based and other community
organizations, in the implementation of the vast array of programs for
which funding is available through HUD's competitive programs.
Grassroots organizations have a strong history of providing vital
community services. Additionally, HUD encourages applicants to include
grassroots faith-based and other community organizations in their work
plans. Applicants who identify at least 15 percent of the total work
activities to be conducted will be performed by grassroots nonprofit
organizations, including faith-based and community-based organizations
in their program work statement and implementation activities, will be
eligible to receive the policy priority point.
(2) Definitions of Grassroots Organizations.
(a) HUD will consider an organization a ``grassroots organization''
if the organization is headquartered in the local community in which it
provides services; and
(i) Has a social services budget of $300,000 or less, or
(ii) Has six or fewer full-time equivalent employees.
(b) Local affiliates of national organizations are not considered
``grassroots.'' Local affiliates of national organizations are
encouraged, however, to partner with grassroots organizations, but must
demonstrate that they are currently working with a grassroots
organization (e.g., having a grassroots faith-based or other community
organization provide volunteers).
(c) The cap provided in paragraph (2)(a)(i) above includes only
that portion of an organization's budget allocated to providing social
services. It does not include other portions of the budget, such as
salaries and expenses, not directly expended in the provision of social
services.
Applicants will be required to identify and describe in detail the
work activities to be performed by the grassroots organizations
including projected outputs and outcomes in their application for
assistance. Selected applicants for funding will be required to report
in accordance with the reporting requirements for the program, the
results achieved against the projected outputs and outcomes.
Activities support strategic goal f.
d. Participation of Minority-Serving Institutions (MSIs) in HUD
Programs. Pursuant to Executive Orders 13256, ``President's Board of
Advisors on Historically Black Colleges and Universities;'' 13230,
``President's Advisory Commission on Educational Excellence for
Hispanic Americans;'' 13216, ``Increasing Participation of Asian
Americans and Pacific Islanders in Federal Programs;'' and 13270,
``Tribal Colleges and Universities,'' HUD is strongly committed to
broadening the participation of MSIs in its programs. HUD is interested
in increasing the participation of MSIs in providing assistance to New
Orleans and other communities that suffer from the long-term and
devastating effects of presidentially-declared disasters which are
currently listed as active on the Federal Emergency Management Agency's
(FEMA) Web site. To receive the policy priority point, the applicant
must include a listing of the proposed work activities to be performed
by the MSI; the specific sites where the work will be performed; and
the projected output and outcome of the work to be performed that will
result in a physical, social, or economic change in the community being
assisted as a result of the work activities. MSIs that receive direct
HUD funding are not eligible to receive the policy priority point
unless they can demonstrate that their work activities are targeted to
disaster areas and not just areas surrounding their campus, unless it
is a city or community that experienced a declared and active disaster
determined by the President. A listing of MSIs can be found on the
Department of Education Web site at http://www.ed.gov/about/offices/list/ocr/edlite-minorityinst.html or HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. A listing of
presidentially declared disasters can be found at http://www.fema.gov/news/disaster_totals_annual.fema.
Activities support strategic goals c and d.
e. Ending Chronic Homelessness. President Bush has set a national
goal to end chronic homelessness. HUD
[[Page 79575]]
Secretary Steven Preston has embraced this goal and has pledged that
HUD's grant programs will be used to support the President's goal and
better meet the needs of chronically homeless individuals. A person
experiencing chronic homelessness is defined as an unaccompanied
individual with a disabling condition who has been continuously
homeless for a year or more or has experienced four or more episodes of
homelessness over the last 3 years. A disabling condition is defined as
a diagnosable substance abuse disorder, serious mental illness,
developmental disability, or chronic physical illness or disability,
including the co-occurrence of two or more of these conditions.
Applicants are encouraged to target assistance to chronically homeless
persons by undertaking activities that will result in:
(1) Creation of affordable housing units, supportive housing, and
group homes;
(2) Establishment of a set-aside of units of affordable housing for
the chronically homeless;
(3) Establishment of substance abuse treatment programs targeted to
the homeless population;
(4) Establishment of job training programs that will provide
opportunities for economic self-sufficiency;
(5) Establishment of counseling programs that assist homeless
persons in finding housing, managing finances, managing anger, and
building interpersonal relationships;
(6) Provision of supportive services, such as health care
assistance, that will permit homeless individuals to become productive
members of society; and
(7) Provision of service coordinators or one-stop assistance
centers that will ensure that chronically homeless persons have access
to housing assistance and a variety of social services.
Applicants that are developing programs to meet the goals set in
this policy priority should keep in mind the requirements of the
regulations implementing Section 504 of the Rehabilitation Act, in
particular, 24 CFR 8.4(b)(1)(iv), 8.4(c)(1), and 8.4(d).
To receive the policy priority point, applicants must coordinate
with the local Continuum of Care lead agency and propose work
activities to fill the need already established by the local Continuum
of Care. Applicants must include supporting documentation from the
local Continuum of Care or member agency in their application and
include specific tasks and projected outputs and outcomes. If selected
for funding, applicants must compare the actual results against
projected outcomes in accordance with the program NOFA reporting
periods contained in the program NOFA.
Activities support strategic goals b and c.
f. Promoting Energy Star and Green Development. HUD is encouraging
grantees to take specific energy-saving actions in furtherance of HUD's
Energy Action Plan described in the August 2006 Report to Congress
entitled: ``Promoting Energy Efficiency at HUD in a Time of Change,''
submitted under section 154 of the Energy Policy Act of 2005 (Pub. L.
109-58). (A copy of the report can be obtained at http://www.huduser.org/publications/destech/energyefficiency.html.) Under this
policy priority, HUD is providing up to two policy priority points, as
follows:
(1) Applicants/grantees that design, build, rehabilitate, or
operate housing or community facilities.
(a) Energy Star Appliances and Products. Grantees that design,
build, or operate housing or community facilities with funds awarded
through HUD's NOFAs will receive one policy priority point if they
incorporate energy-efficiency measures in the design, construction, and
operation of these properties. To receive a point, grantees must meet
the following criteria:
Moderate rehabilitation and/or Building Operation and
Maintenance: Use Energy Star-labeled appliances and products.
New construction or substantial rehabilitation (single
family): All units must be certified by a Home Energy Rater as an
Energy Star Qualified Home; and all appliances must be Energy Star
qualified.
New construction or substantial rehabilitation
(multifamily): Meet ASHRAE 90.1-2007 plus 20 percent (Appendix G) and
appliances must be Energy Star qualified. A heat load analysis showing
compliance with this standard must be completed by the project
architect or engineer during the design phase of the project.
Housing Counseling: Provide training on energy costs and
budgeting, as well as energy efficient products and appliances,
including Energy Star, in counseling curriculum.
(b) Green Development. HUD is also interested in promoting green
building. Therefore, applicants that demonstrate they will undertake
green development in the implementation of their program are eligible
to receive one additional policy priority point for green development.
This additional policy priority point for green development is
available only to applicants that fulfill the requirements for use of
Energy Star appliances and products above, plus undertake green
development.
Green development means that one of several recognized green rating
programs, including: the Energy Star Plus Indoor Air Package or Energy
Star Advanced New Home Construction; Earthcraft; Enterprise Green
Communities Initiative; the National Association of Home Builders
(NAHB) Green Building Guidelines; Leadership in Energy and
Environmental Design (LEED) for Homes (for single family); and LEED New
Construction (for multifamily) is used in the design and construction
of properties. For green programs that require third-party
certification, the applicant must provide evidence of such
certification. For green programs that require self-certification, the
applicant must provide evidence of self-certification, such as the
Enterprise Green Communities checklist. Applicants that elect to meet
the requirements for Green Development will receive one policy priority
point.
Applicants electing to meet these requirements must agree to use
the HUD/PIH Benchmarking Tool at http://www.hud.gov/offices/pih/programs/ph/phecc/econserve.cfm to enter utility data for the first
year after building occupancy, and report the results to HUD. The
building would be expected to achieve a score of at least 65 (15
percent over average). For information on Energy Star Qualified Homes
and Energy Star qualified products, see http://www.energystar.gov.
(2) Applicants/grantees that provide housing counseling, housing
counseling training or community development technical assistance.
(a) Energy Star Appliances and Products. Applicants/grantees that
receive funds for HUD's Housing Counseling, Housing Counseling
Training, and Community Development Technical Assistance programs will
receive policy priority points if, when providing counseling or
training services or technical assistance, they include information on
Energy Star appliances and products and information on the potential
cost savings associated with buildings constructed using Energy Star
standards.
(b) Green Development. Applicants/grantees that receive funds for
HUD's Housing Counseling, Housing Counseling Training, and Community
Development Technical Assistance programs will receive one additional
policy priority point if, when providing counseling or training
services or technical assistance, they provide information on Green
Design, Development, and Certification
[[Page 79576]]
Standards in addition to the Energy Star information in the preceding
paragraph.
Activities support strategic goals a and b.
g. Promoting Assistance to Veterans.
HUD is interested in applicants who incorporate assistance to
veterans in the development and implementation of their proposed
program of activities. HUD will provide a policy priority point to
applicants that provide assistance to veterans in their transition from
military service to civilian life, by addressing veterans' needs for
housing, community-based services, or job training and employment
opportunities. To receive the policy priority point, applicants will
have to identify specific activities that are targeted to veterans; the
housing, community development, or economic development need being
addressed; the number of veterans anticipated to be assisted; and the
anticipated outcome that will result from the services provided.
Applicants must provide projected number of veterans to be directly
assisted, and the actual number of veterans receiving the assistance
and what were the results of the services delivered in terms of the
number of veterans provided housing, job training, jobs acquired, or
social services received. Applicants selected for funding must compare
actual results against projected outcomes in accordance with the
program NOFA reporting periods contained in the program NOFA.
Activities support strategic goals c and d.
3. Threshold Compliance. Only applications that meet all of the
threshold requirements will be eligible to receive an award of funds
from HUD.
4. Corrections to Deficient Applications. After the application
deadline, and in accordance with the electronic submission grace period
described in this notice, HUD may not, consistent with its regulations
in 24 CFR part 4, subpart B, consider any unsolicited information that
an applicant may want to provide. HUD may contact an applicant to
clarify an item in its application or to correct curable (correctable)
technical deficiencies. HUD may not seek clarification of items or
responses that improve the substantive quality of an applicant's
response to any rating factors. In order not to unreasonably exclude
applications from being rated and ranked, HUD may contact applicants to
ensure proper completion of the application, and will do so on a
uniform basis for all applicants.
Examples of curable (correctable) technical deficiencies include
inconsistencies in the funding request, failure to submit the proper
certifications, and failure to submit an application that contains a
signature by an official able to make a legally binding commitment on
behalf of the applicant. In the case of an applicant that received a
waiver of the regulatory requirement to submit an electronic
application, the technical deficiency may include failure to submit an
application that contains an original signature. If HUD finds a curable
deficiency in the application, HUD will notify the applicant in writing
by describing the clarification or technical deficiency. HUD will
notify applicants by e-mail, facsimile, or via the U.S. Postal Service,
return receipt requested. Clarifications or corrections of technical
deficiencies in accordance with the information provided by HUD must be
submitted within 5 calendar days of the date of receipt of the HUD
notification. (If the deadline date falls on a Saturday, Sunday, or
federal holiday, the applicant's correction must be received by HUD on
the next day that is not a Saturday, Sunday, or federal holiday.) In
the case of electronic submissions to Grants.gov, any clarifications or
cure items must be submitted electronically using the facsimile
telephone number and form HUD-96011, Facsimile Cover Page, contained in
the last application package submitted to HUD. The additional
information will be matched to the electronic application in HUD's
files. Applicants must follow the facsimile requirements found
elsewhere in this notice. If the deficiency is not corrected within the
above time frame, HUD will reject the application as incomplete, and it
will not be considered for funding. In order to meet statutory
deadlines for the obligation of funds or for timely completion of the
review process, program NOFAs may reduce the number of days for
submitting a response to a HUD request for clarification or correction
to a technical deficiency. Please be sure to carefully read this notice
and each program NOFA for any additional information and instructions.
An applicant's response to a HUD notification of a curable deficiency
should be submitted directly to HUD in accordance with the instructions
provided in the notification.
5. Rating Panels. To review and rate applications, HUD may
establish panels that may include persons not currently employed by
HUD. HUD may include these non-HUD employees to obtain particular
expertise and outside points of view, including views from other
federal agencies. Persons brought into HUD to review applications are
subject to conflict-of-interest provisions. In addition, reviewers
using HUD IT systems may be subject to an IT security check.
6. Rating. HUD will evaluate and rate all applications for funding
that meet the threshold requirements.
7. Ranking. HUD will rank applicants within each program or, for
Continuum of Care applicants, across the three programs identified in
the Continuum of Care NOFA. HUD will rank applicants against only those
applying for the same program funding.
Where there are set-asides within a program competition, the
applicant will compete against only those applicants in the same set-
aside competition.
C. Anticipated Announcement and Award Dates
The individual program NOFAs will provide the applicable
information regarding this subject.
VI. Award Administration Information
A. Award Notices
1. Negotiation. After it has rated and ranked all applications and
made selections, HUD may require, depending upon the program, that a
selected applicant participate in negotiations to determine the
specific terms of the funding agreement and budget. In cases where HUD
cannot successfully conclude negotiations with a selected applicant or
a selected applicant fails to provide HUD with requested information,
an award will not be made to that applicant. In such an instance, HUD
may offer an award to, and proceed with negotiations with, the next
highest-ranking applicant.
2. Adjustments to Funding.
a. To ensure the fair distribution of funds and enable the purposes
or requirements of a specific program to be met, HUD reserves the right
to fund less than the full amount requested in an application.
b. HUD will not fund any portion of an application that: (1) Is not
eligible for funding under specific HUD program statutory or regulatory
requirements; (2) does not meet the requirements of this notice; or (3)
is duplicative of other funded programs or activities from prior year
awards or other selected applicants. Only the eligible portions of an
application (excluding duplicative portions) may be funded.
c. If funds remain after funding the highest-ranking applications,
HUD may fund all or part of the next highest-ranking application in a
given program. If an applicant turns down an award offer, HUD will make
an offer of funding to the next highest-ranking application.
[[Page 79577]]
d. If funds remain after all selections have been made, remaining
funds may be made available within the current fiscal year for other
competitions within the program area or be held over for future
competitions.
e. If, subsequent to announcement of awards made under the FY2009
NOFAs, additional funds become available either through a supplemental
appropriation or recapture of funds during FY2009, HUD reserves the
right to use the additional funding to provide full funding to an
FY2009 applicant that was denied the requested amount of funds due to
insufficient funds to make the full award, and/or to fund additional
applicants that were eligible to receive an award but for which there
were no funds available.
f. Individual program NOFAs may have other requirements, so please
review the program NOFAs carefully.
3. Funding Errors. In the event HUD commits an error that, if
corrected, would result in selection of an applicant during the funding
round of a program NOFA, HUD may select that applicant for funding,
subject to the availability of funds.
4. Performance and Compliance Actions of Funding Recipients. HUD
will measure and address the performance and compliance actions of
funding recipients in accordance with the applicable standards and
sanctions of their respective programs.
5. Debriefing. For a period of at least 120 days, beginning 30 days
after the awards for assistance are publicly announced, HUD will
provide to a requesting applicant a debriefing related to its
application. A request for debriefing must be made in writing or by
email by the authorized official whose signature appears on the SF-424
or by his or her successor in office, and be submitted to the person or
organization identified as the contact under the section entitled
``Agency Contact(s)'' in the individual program NOFA under which the
applicant applied for assistance. Information provided during a
debriefing will include, at a minimum, the final score the applicant
received for each rating factor, final evaluator comments for each
rating factor, and the final assessment indicating the basis upon which
assistance was provided or denied.
B. Administrative and National Policy Requirements. See Section
III.C. of this notice regarding related requirements.
C. Reporting
1. Use of a Logic Model to Report Performance. In FY2004, HUD began
using as a planning tool the Logic Model submitted as part of NOFA
applications. In FY2005, HUD required grant agreements to incorporate
performance reporting against the approved Logic Model. In FY2006, HUD
moved to standardized ``master'' Logic Models from which applicants can
select needs, activities/outputs, and outcomes appropriate to their
programs. In addition, program offices have identified Program
Management Evaluation Questions that grantees will be required to
report on, as specified in the approved program eLogic Model[supreg].
The time frame established for the Logic Model reporting will be in
accordance with the program's established reporting periods and as
stated in the program NOFA.
2. Placement of Approved Logic Models and Reports on HUD's Web
site. It is HUD's intent to publish approved Logic Models and grantee
progress reports submitted to HUD on its Grants Web site. Starting with
awards made in FY2007, HUD established a Grants Performance page that
features program performance ratings issued by OMB under its Program
Assessment Rating Tool (PART) or its successor tool, for HUD programs
that have been evaluated by OMB. HUD will also post all approved Logic
Models that show each awardee's projected outputs and outcomes during
the period of performance. As required performance reports are received
by HUD, they will be added to the Web site. HUD is creating this Web
site page to highlight and make available to the public performance and
results from HUD-funded programs, in keeping with Executive Order
13392, issued December 14, 2005, and published in the Federal Register
on December 19, 2005 (70 FR 75373). HUD believes that informing the
public on progress is in keeping with presidential and congressional
intent for transparency in federally funded programs, as demonstrated
by the passage of the Federal Funding Accountability and Transparency
Act of 2006 (Pub. L. 109-282), and creation of the federal Web sites
http://www.ExpectMore.gov and http://www.Results.gov.
3. Return on Investment Statements. HUD also intends to propose
Return on Investment (ROI) Statements for each of its competitive grant
programs. Before finalizing ROI Statements for implementation, HUD will
either offer incentive funding for applicants wishing to participate in
developing an ROI as part of their grant program or HUD will publish
the proposed ROI Statements for public comment. HUD believes the
applicant/grantee community can greatly assist HUD in its attempt to
place a value on the work done under the Department's grant programs.
While HUD expects grantees to respond to the Management Evaluation
Questions in their final reports, reporting on the ROI Statements is
not mandatory at this time. As HUD finalizes ROI Statements for each
program, they will be included in awards in the future. In FY2008, HUD
offered ROI incentive funding in the Housing for Persons with AIDS
(HOPWA) NOFA.
4. Logic Model Instructions. The Logic Model form (HUD-96010), a
Microsoft Excel workbook, contains instructions in Tab 1 on how to use
the form. The form or eLogic Model[reg] incorporates a program-specific
master list of statements of need, service, or activity/output(s) and
their associated unit(s) of measure; and outcome(s) and their
associated unit(s) of measure. Applicants will be required to click on
a cell within a column. When you click on the cell, the drop-down
button appears to the right of the cell. Applicants can then select the
appropriate statement(s) to reflect their proposed program. Applicants
can select multiple need(s) and services, or activities/outputs and
outcomes, but each selection is entered in separate cells using the
drop-down menu. The unit measure, whether for outputs or outcomes, may
be a number or date. Applicants insert the expected number of units to
be completed or achieved or date of achievement during the period of
performance. In this manner, the applicant will build a custom Logic
Model reflecting their program of activities. The custom Logic Model
will link the need(s) to the activity/output(s), which in turn are
linked to the result or expected outcome(s) tailored to each of HUD's
programs.
5. Logic Model Format. The following briefly describes the format
for the HUD Logic Model. Full instructions are contained in the Logic
Model found in the Instructions Download for the program, on
Grants.gov. For the Logic Model to work properly, you must enable the
macros upon opening the file.
a. Each Logic Model has drop-down menus for HUD Strategic Goals and
Policy Priorities, to eliminate applicant confusion over what letters
and numbers to use for the goals and priorities and to improve data
quality.
b. Tabs for Year 1, Year 2, and Year 3 activities, as well as a tab
for Total, are provided in each Logic Model. HUD found that applicants
within a program had varying opinions or interpretations on time frames
for short, intermediate, and long term and that the use of clearly
[[Page 79578]]
defined time frames eliminated the varying interpretations and provided
for better quality data. In response to grantee requests, in FY2008,
HUD added a column labeled YTD (Year-To-Date), which represents
cumulative totals per year to each reporting period for results
achieved. The column allows grantees to see immediately what they have
achieved during the reporting period, what they have achieved as they
progress throughout the year, what they have achieved on a cumulative
basis each reporting year, and what they have achieved during the
period of award. The total tab allows for cumulative projected and
final results to be shown covering all years of the period of
performance. Applicants with a one-year period of performance only have
to complete the Year 1 tab, since the total results will all occur in
the one-year award period. When reporting, be sure to show
noncumulative data in the past column and cumulative date in the YTD
column. In 2008, HUD also increased the number of rows in each Logic
Model Worksheet to allow applicants to skip a row between groups of
activities so they could better demonstrate the relationship between
the activity(ies) and the expected outcomes.
c. For the grantees' convenience and to call attention to the
requirements, the Logic Model form contains reporting instructions. The
instructions ask applicants to identify in their reports to HUD where
actual results deviated from projected results--either positively or
negatively. The Reporting Instruction tab includes a text field in
which grantees can report any deviations, as well as their responses to
the management questions. While the reporting tab does not add
additional burden hours to the information collection, HUD believes
that having the reporting tab in the form assists the applicant in
completing their Logic Model and provides for better quality Logic
Models and reporting to HUD. HUD will continue to review data received
via eLogic Model[reg] in 2008 and would like to thank the applicant/
grantee community for their recommendations and insights.
In FY2009, HUD added fields for the applicant's DUNS number and
project location. These data elements make it easier to place logic
models on HUD's Web site and find application logic models by location.
In FY2009, to provide for greater consistency in reporting, applicants
must include all activities and outcomes expected each year of the
period of performance. Applicants should carefully review the program
NOFA for required outputs and outcome selections, because some of the
program NOFAs define what must, at a minimum, be included in the Logic
Model.
6. In FY2009, grantees must adhere to the following reporting
principles:
a. An evaluation process will be part of the ongoing management of
the HUD-funded award;
b. Comparisons will be made between projected and actual numbers
for outputs and outcomes;
c. Deviations from projected outputs and outcomes will be
documented and explained as part of required reporting; and
d. Data will be analyzed to determine the relationship of outputs
to outcomes, to determine which outputs produce which outcomes and
which are most effective.
As stated above, in FY2007, HUD required each program to establish
a set of Program Management Evaluation Questions for grantee reporting.
Grantees must use these questions to self-evaluate the management and
performance of their program. HUD is continuing this practice in
FY2009. In developing the Program Management Evaluation Questions for
the Master Logic Model, HUD trained its program managers on the Carter-
Richmond Methodology, a critical thinking process that identifies key
management and evaluation questions for HUD's programs. The following
table identifies the Carter-Richmond generic questions and where the
source data is found in the Logic Model.
Carter-Richmond Methodology: \1\ Building Blocks for Effective
Management
------------------------------------------------------------------------
Logic model columns for source
Management questions data
------------------------------------------------------------------------
1. How many clients are you serving?.... Service/Activity/Output.
2. How many units were provided?........ Service/Activity/Output.
3. Who are you serving?................. Service/Activity/Output.
4. What services do you provide?........ Service/Activity/Output.
5. What does it cost?................... Service/Activity/Output.
6. What does it cost per service Service/Activity/Output/
delivered?. Evaluation.
7. What happens to the ``subjects'' as a Outcome.
result of the service? \2\.
8. What does it cost per outcome?....... Outcome and Evaluation.
9. What is the value of the outcome?.... Outcome and Evaluation.
10. What is the return on investment?... Evaluation.
------------------------------------------------------------------------
\1\ ``The Accountable Agency--How to Evaluate the Effectiveness of
Public and Private Programs,'' Reginald Carter, ISBN Number
9780978724924.
\2\ The subject can be a client or a unit, such as a building, and is
defined in its associated unit of service.
As a result of this training, each program has developed specific
Program Management Evaluation Questions tailored to the statutory
purpose of each of their programs. Each program NOFA will require
applicants to address these questions based upon the Carter-Richmond
Methodology in their reports to HUD. The program NOFA Logic Models will
identify the particular questions to be addressed that relate to the
statutory purpose and intent of each program. In FY2008, the Management
Questions were developed as a Microsoft Excel table which formats the
question as a data element and the response to the question as a data
element. By creating this table, grantees when reporting can enter the
response to the management questions in the data field provided, thus
allowing the management question responses to be placed in the Logic
Model database for further analysis.
Training on HUD's Logic Model and on the reporting requirements for
addressing the Program Management Evaluation Questions will be provided
via satellite broadcast. The training will also provide examples of how
to construct the Logic Model using the drop-down lists in the eLogic
Model[reg]. Training materials and the dates for the training will be
on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. In addition, each program NOFA broadcast will address
the specific questions and reporting requirements for the specific
program.
[[Page 79579]]
Applicants should submit the completed Logic Model as an attachment
to their application, in accordance with the directions in the program
NOFA for addressing the factors for award. Each program NOFA will
identify if it requires the factors for award, including the Logic
Model that is required as part of the application submission, to be
submitted as a single attached file or as separate files. Please follow
the program NOFA directions. When opening the eLogic Model[reg] enable
the Macros. Do not convert the file to PDF format. Save the file in the
format you opened it. Grants.gov can now accept Microsoft Office 2007
files and HUD can read both Microsoft Office 2003 and Microsoft Office
2007 files.
After being selected for funding and awarded funds, grantees will
be required to submit a completed form HUD-96010, Logic Model,
indicating results achieved against the proposed output(s) and proposed
outcome(s) stated in the grantee's approved application and agreed to
by HUD. The Logic Model and required management questions must be
submitted to HUD in accordance with the reporting periods identified in
each program NOFA for providing reports to HUD.
7. Use of Form HUD-27061, Race and Ethnic Data Reporting Form, to
Report Race and Ethnicity Data for Beneficiaries of HUD Programs. HUD
requires grantees that provide HUD program benefits to individuals or
families to report data on the race and ethnicity of those receiving
such benefits. Grantees that provide benefits to individuals during the
period of performance, whether directly, through subrecipients, or
through contractual arrangements, must report the data using form HUD-
27061, Race and Ethnic Data Reporting Form, on Grants.gov. The form is
a data collection based on the standards published by OMB on August 13,
2002. The individual program NOFAs will identify applicable reporting
requirements related to each program. Applicants reporting to HUD using
an online system can use that system to meet this requirement, provided
that the data elements and reports derived from the system are
equivalent to the data collection in the form HUD-27061. For programs
where race and ethnicity reporting is required, copies of form HUD-
27061 will be included in the Instructions Download portion of the
application posted to Grants.gov.
8. Frequency of Reports and Data Consistency.
a. Logic Model Reporting. When submitting eLogic Model[reg] reports
on a quarterly, semiannual, or annual basis, each report should show
the results that occurred during that reporting period. All final
reports should provide a final eLogic Model[reg] performance for the
entire period of the award. See instructions in the eLogic Model[reg]
on how to label files when reporting. When reporting, be sure to show
noncumulative data in the past column and cumulative data in the YTD
column.
b. Race and Ethnic Data Report. When submitting the Race and Ethnic
Data Reporting Form (HUD-27061) on a quarterly or semiannual basis,
each reporting period should show the results that occurred during the
performance period for all active clients. If a multiyear program is
funded, then each annual report should show results that occurred
during that performance year for all active clients. A final form HUD-
27061 should show results for all active clients for the entire period
of performance.
VII. Agency Contact(s)
The individual program NOFAs will identify the applicable agency
contacts related to each program. Questions regarding this notice
should be directed to the NOFA Information Center between the hours of
10 a.m. and 6:30 p.m. eastern time at 800-HUD-8929. Persons with
hearing or speech impairments may access this number via TTY by calling
the Federal Information Relay Service at 800-877-8339. (These are toll-
free numbers.) Questions regarding specific program requirements should
be directed to the agency contacts identified in each program NOFA.
VIII. Other Information
A. Public Law 106-107, Streamlining Activities and Grants.gov. The
Federal Financial Assistance Management Improvement Act of 1999 (Pub.
L. 106-107) directed each federal agency to develop and implement a
plan that, among other things, streamlines and simplifies the
application, administrative, and reporting procedures for federal
financial assistance programs administered by the agency. This law also
required the Director of OMB to direct, coordinate, and assist federal
agencies in establishing: (1) A common application and reporting system
and (2) an interagency process for addressing ways to streamline and
simplify federal financial assistance application and administrative
procedures, as well as reporting requirements for program applicants.
Over the last several years, the intergovernmental work groups tasked
with the implementation of Public Law 106-107 have been engaged in
various streamlining activities that are now being shared with the
grantee community for their input prior to being implemented across the
federal government. Public Law 106-107 sunset in 2008. Despite the
sunset of the law, federal agencies are still working to simplify and
streamline their application and submission requirements. Applicants
and grantees are urged to participate in the broadcasts sponsored by
the Grants Policy Committee and the federal government work groups to
become familiar with the proposed changes to simplify requirements, at
http://www.gpc.gov.
B. Grants.gov. The Grants.gov initiative focuses on allowing the
public to easily FIND competitive funding opportunities and then APPLY
for grant funding electronically via Grants.gov. In FY2004, HUD posted
all of its funding opportunities, with the exception of Continuum of
Care, at http://www.grants.gov/applicants/find_grant_opportunities.jsp and has continued to do so through FY2009. In
addition, Grants.gov is working with federal agencies to begin the
process of accepting mandatory and formula grant program plans and
application submissions online via Grants.gov. Applicants for HUD's
formula and competitive programs are urged to become familiar with the
Grants.gov website, registration procedures, and electronic submissions
so that, as the website is expanded, applicants will be registered and
familiar with the find-and-apply functionality. The Grants.gov Internet
address for Finding Grant Opportunities is http://www.grants.gov/applicants/find_grant_opportunities.jsp. The Grants.gov Internet
address for Applying for Grant Opportunities is http://www07.grants.gov/applicants/apply_for_grants.jsp.
C. HUD-IRS Memorandum of Agreement. HUD and the IRS have entered
into a memorandum of agreement to provide information to HUD grantees
serving low-income, disabled, and elderly persons, as well as persons
with limited English proficiency, on the availability of low-income
housing tax credits, the earned income tax credit, individual
development accounts, child tax credits, and the IRS Voluntary Income
Tax Assistance program. HUD is making available on its website
information on these IRS asset-building resources. HUD encourages you
to visit the website and disseminate this information to low-income
residents in your community and other organizations that serve low-
income residents, so that eligible
[[Page 79580]]
individuals can take advantage of these resources.
D. Paperwork Reduction Act Statement. The information collection
requirements in this notice have been approved by OMB under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). In accordance
with the Paperwork Reduction Act, HUD may not conduct or sponsor, and a
person is not required to respond to, a collection of information,
unless the collection displays a valid OMB control number. Each program
NOFA will identify its applicable OMB control number.
E. Environmental Impact. A Finding of No Significant Impact with
respect to the environment has been made for this notice, in accordance
with HUD regulations at 24 CFR part 50 that implement Section 102(2)(C)
of the National Environmental Policy Act of 1969 (42 U.S.C.
4332(2)(C)). As program NOFAs are issued, each will provide a statement
regarding Environmental Impact. The Finding of No Significant Impact
for this notice is available for public inspection between 8 a.m. and 5
p.m. eastern time, Monday through Friday, except federal holidays, in
the Office of General Counsel, Regulations Division, Department of
Housing and Urban Development, 451 7th Street, SW., Room 10276,
Washington, DC 20410-0500.
F. Executive Orders and Congressional Intent
1. Executive Order 13132, Federalism. Executive Order 13132
prohibits, to the extent practicable and permitted by law, an agency
from promulgating policies that have federalism implications and either
impose substantial direct compliance costs on state and local
governments and are not required by statute, or preempt state law,
unless the relevant requirements of Section 6 of the executive order
are met. This notice does not have federalism implications and does not
impose substantial direct compliance costs on state and local
governments or preempt state law within the meaning of the executive
order.
2. American-made Products. Sections 708 and 709 of the
Transportation, Treasury, Housing and Urban Development, the Judiciary,
and Independent Agencies Appropriations Act, 2006 (Pub. L. 109-115;
approved Nov. 30, 2005), states that, to the greatest extent
practicable, all equipment and products purchased with funds made
available should be made in the United States.
3. Eminent Domain. In accordance with Division K, Title IV (General
Provisions), Section 411 of the Consolidated Appropriations Act, 2008
(Pub. L. 110-161, approved December 26, 2007), no funds made available
in FY2008 may be used to support any federal, state, or local projects
that seek to use the power of eminent domain, unless eminent domain is
employed only for a public use. This limitation also applied to FY2007
appropriated funds. In FY2009, this limitation may apply, subject to
the language in HUD's final approved appropriation act.
Based upon language in previous appropriations, for purposes of
this provision, public use shall not be construed to include economic
development that primarily benefits private entities.
Further, any use of funds for mass transit, railroad, airport,
seaport, or highway projects, as well as utility projects which benefit
or serve the general public (including energy-related, communication-
related, water-related, and wastewater-related infrastructure), other
structures designated for use by the general public or which have other
common-carrier or public-utility functions that serve the general
public and are subject to regulation and oversight by the government,
and projects for the removal of an immediate threat to public health
and safety or brownfields, as defined in the Small Business Liability
Relief and Brownfields Revitalization Act (Pub. L. 107-118), shall be
considered a public use for purposes of eminent domain.
G. Public Access, Documentation, and Disclosure. Section 102 of the
Department of Housing and Urban Development Reform Act of 1989 (HUD
Reform Act) (42 U.S.C. 3545) and the regulations codified at 24 CFR
part 4, subpart A, contain a number of provisions that are designed to
ensure greater accountability and integrity in the provision of certain
types of assistance administered by HUD. On January 14, 1992, HUD
published a notice that also provides information on the implementation
of section 102 (57 FR 1942). The documentation, public access, and
disclosure requirements of section 102 apply to assistance awarded
under individual NOFAs published as described below.
1. Documentation, Public Access, and Disclosure Requirements. HUD
will ensure that documentation and other information regarding each
application submitted pursuant to its FY2009 NOFAs are sufficient to
indicate the basis upon which assistance was provided or denied. This
material, including any letters of support, will be made available for
public inspection for a 5-year period beginning not less than 30 days
after the award of the assistance. Material will be made available in
accordance with the Freedom of Information Act (5 U.S.C. 552) and HUD's
implementing regulations (24 CFR part 15).
2. Form HUD-2880, ``Applicant/Recipient Disclosure/Update Report''
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov). HUD will
also make available to the public, for 5 years, all applicant
disclosure reports (form HUD-2880) submitted in connection with an
FY2009 NOFA. Update reports (also reported on form HUD-2880) will be
made available along with the applicant disclosure reports, but in no
case for a period of less than 3 years. All reports, both applicant
disclosures and updates, will be made available in accordance with the
Freedom of Information Act (5 U.S.C. 552) and HUD's implementing
regulations (24 CFR part 5).
3. Publication of Recipients of HUD Funding. HUD's regulations at
24 CFR part 4 provide that HUD will publish a notice in the Federal
Register to notify the public of all funding decisions made by the
Department to provide:
a. Assistance subject to Section 102(a) of the HUD Reform Act; and
b. Assistance provided through grants or cooperative agreements on
a discretionary (non-formula, non-demand) noncompetitive basis.
H. Section 103 of the HUD Reform Act. HUD's regulations
implementing section 103 of the HUD Reform Act, codified at 24 CFR part
4, subpart B, apply to this funding competition. The regulations
continue to apply until the announcement of the selection of successful
applicants.
HUD employees involved in the review of applications and in the
making of funding decisions are prohibited by the regulations from
providing advance information to any person (other than an authorized
employee of HUD) concerning funding decisions or from otherwise giving
any applicant an unfair competitive advantage. Persons who apply for
assistance should confine their inquiries to the subject areas
permitted under 24 CFR part 4.
Applicants or employees who have ethics-related questions should
contact the HUD Ethics Law Division at 202-708-3815 (this is not a
toll-free number). The toll-free TTY number for persons with speech or
hearing impairments is 800-877-8339. HUD employees who have specific
program questions should contact the appropriate field office counsel
or
[[Page 79581]]
Headquarters counsel for the program to which the question pertains.
BILLING CODE 4210-67-P
[GRAPHIC] [TIFF OMITTED] TN29DE08.000
[[Page 79582]]
[GRAPHIC] [TIFF OMITTED] TN29DE08.001
[[Page 79583]]
[GRAPHIC] [TIFF OMITTED] TN29DE08.002
[[Page 79584]]
[GRAPHIC] [TIFF OMITTED] TN29DE08.003
Instructions
A maximum of 10 points are assigned for evaluating and scoring the
logic model.
The Logic Model Assessment Matrix identifies the four components
that are to be evaluated when scoring the logic model:
Row--1--Services.
Row--2--Outcomes.
Row--3--Projections.
Row--4--Evaluation Tools.
There are four possible conditions that describe each component
represented by the labels (three conditions for the Evaluation
component):
Excellent.
Good.
Marginally Satisfactory.
Unacceptable.
When reviewing and scoring the logic model, HUD reviewers will
choose the one statement in each of the four rows (services, outcomes,
projections, evaluation tools) that best describes your evaluation of
the logic model and add the assigned points to obtain a total score.
[FR Doc. E8-30600 Filed 12-24-08; 8:45 am]
BILLING CODE 4210-67-C